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Margin Lending Adviser

Margin Lending Adviser is designed for individuals who require RG146 compliance and authorisation by an Australian Financial Services License (AFSL) holder to provide advice on margin lending products.

This course is listed on the Training Register of Australia's corporate regulator (ASIC).

Focused on your Success

We recognise that employers are increasingly looking for candidates who are aware of the challenges of being a successful financial adviser.Often a candidate’s Qualification is the only evidence that they possess the technical knowledge and skills requirements to conduct themselves professionally as an authorised representative. Unfortunately, this can not be said for all training providers.

With a RG 146 Training Australia Diploma of Financial Planning qualification you have confidence in the fact that you will be equipped with the skills and knowledge gained from a credible industry-endorsed program that employs best practice assessment standards, helping you graduate at the leading edge of your chosen field.

Course Outcome

The Margin Lending course will equip you with the specialist knowledge and technical skills to provide compliant advice to clients on:

  • Margin Lending
  • Conducting product research to support your recommendations.
  • Provide appropriate services, advice and products to clients.
  • Determine client requirements and expectations.
  • Record and Implement client instructions.

RG146 Registered

Mentor’s courses offer more than just compliance training that meets the requirements of Regulatory Guideline 146 (RG146). They are designed to engage and challenge, so that you or your advisers are equipped with both the skills and knowledge required to deliver quality advice outcomes to your clients.

Who Should Enrol?

You should enrol if you are:

  • Working within the financial planning profession and looking to meet qualification requirement of the corporate regulator as an authorised financial adviser in relation to Margin Lending.
  • Seeking to expand your margin lending skills and knowledge.
  • Wanting to diversify your revenue opportunities by providing advice on margin lending.

Course Entry Requirement

This online course is open entry. Upon successful completion of this course, individuals who:

  • Hold the Diploma of Financial Planning (FNS 50611) qualification or equivalent will be issued a Statement of Attainment listing the RG146 competencies achieved. Those who do not hold the Diploma of Financial Planning (FNS 50611) qualification or equivalent and wish to provide personal advice in Margin Lending will need to complete the prerequisite Financial Advice subject (DFP 1) will be awarded a Statement of Attainment listing the RG146 competencies achieved.
  • Those who do not hold the Diploma of Financial Planning qualification or equivalent and wish to provide general advice in Margin Lending will need to complete the prerequisite Financial Advice Fundamentals subject, a portion of DFP1 to be awarded a Statement of Attainment listing the RG146 competencies achieved.
  • Have yet to attain the Diploma of Financial Planning qualification and do not wish to provide either general or personal advice will be issued an Award of Completion.

Level of Advice

All financial product advice are labelled under two types of advice: general advice or personal advice. ASIC has provided guidance as to the difference between general advice and personal advice. Both general advice and private advice are outlined under section 766B of the Corporations Act.

Personal Advice

Advice is deemed personal if the adviser has to consider one or more objectives of the client's personal circumstances, objectives, financial situation or needs.

For personal advice the adviser will provide the client with a current Financial Services Guide (FSG) and a Statement of Advice (SoA), and all relevant Product Disclosure Statements and supporting Financial Statements (where relevant).

The client will also be required to sign an engagement letter, scope of advice, and fee agreement forms.


This online course will equip you with the specialist knowledge and technical skills to provide compliant advice to clients on:

Margin Lending

  • Part 1 Overview of Margin lending course
  • Part 2 Essential of Margin Lending
  • Part 3 How to Take out a Margin Loan
  • Part 4 Risks Associated with Margin Lending
  • Part 5 Opes Prime and Storm Financial
  • Part 6 Legislative and Regulatory Requirements
  • Part 7 Responsible lending Requirements
  • Part 8 Margin Calls
  • Part 9 Taxation Treatment of Margin Loans
  • Part 10 Investment Strategies
  • Part 11 Economic Outlook

Competencies

This course includes nationally recognised units

Margin Lending Personal Advice

FNSASICR503 Provide advice in Margin Lending
FNSINC501 Conduct product research to support recommendations
FNSIAD501 Provide appropriate services, advice and products to clients
FNSCUS505 Determine client requirements and expectations
FNSCUS506 Record and implement client instructions

Assessment

This course is assessed via completion of:

  • Multiple choice knowledge test for each part.
  • Short answer responses to questions relating to a case study, where you are required to apply the financial advice process.

FLEXIBLE DELIVERY OPTIONS: NATION-WIDE

Mentor specialises in providing professional education and training services to you anywhere, any-time. We appreciate that learning needs differ for each individual and organisation, which is why we allow you to select the approach that works best for you.

Personal Advice

Study Online, Workshop or customised In-house Training and start this Monday at 11 am with an Induction Webinar.

Online
  • No hidden costs
  • Self-Paced
  • start anytime
  • Online assessment
  • 1300 phone support

$520.00

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TESTIMONIALS

..Mentor Education’s assistance with helping me with both Diploma of Financial Planning and the Adv. Diploma of Financial Planning has been fantastic. I really appreciate their guidance and assistance with helping me obtain my qualifications. Your prompt email responses to my queries are also greatly appreciated..

Linda Pfitzner
Client Service Manager
Leading Australia Bank Financial Planning

..Mentor Education simply makes our lives easier. Their professional problem-solving approach allows us to focus on other parts of the business;
safe in the knowledge that Mentor graduates have what is takes to provide our clients with sound and accurate advice..

Charles Cavallaro
Professional Development Coordinator
Leading Australian Bank

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