Course Curriculum

  1. Introduction

  2. Initial Engagement

  3. Information Gathering

  4. Advice Formulation & Documentation

  5. Advice Presentation & Acceptance

  6. Implementation

About this course

  • $249.00
  • 3 hours of video content
  • 2.5 CPD Hours/Points
  • Multiple Choice Assessment
  • Delivery: Online, Self-paced

About this course

Our Financial Adviser Compliance 101 short course provides you with a breakdown into the common activities associated with each step of the advice process and most importantly - what compliance tools you need to use as an Adviser to ensure you are meeting compliance requirements

What you will learn

  • What the end to end advice process compliance expectations are for you as an Adviser

  • What compliance tool, checklist or template can help you at each step of the advice process

  • How to feel confident your advice documents and advice files are meeting compliance requirements

Who is this short course for?

• Financial Advisers • Financial Planning Practice Managers • Responsible Managers • Compliance Personnel and Consultants

Certification

You will be awarded a Certificate of Completion. It will be available online for you to download and print immediately

Course Preview

Complementary Resources

As part of the short course you will also receive the following:

  • 22 Client Letter & Email Templates

  • 12 File Note Templates

  • 8 Best Interest Duty Adviser Templates

  • 8 Client File Checklists

  • 4 Information Gathering Templates

  • 3 Fact Find Templates

Buy a course and we'll plant a tree!

It's just that simple... we will plant one tree for every course purchased. There's no limit to the number of trees we will plant, so buy a course today and take one small step toward a greener tomorrow

Visit the program at OneTreePlanted.org

Course Syllabus

Click here to get further information on the course. You will find the agenda, timetable of each session delivered, the facilitator qualifications and experience in financial services, learning outcomes and more
Download

Frequently Asked Questions

  • How are the CPD short courses assessed?

    Our CPD short courses are assessed by a short open book multiple-choice exam

  • When can I can enrol?

    Our CPD short courses are 100% online, so you can start anytime, anywhere

  • How do I enrol my team?

    You can enrol your team online. Find the right course and make an online purchase or contact us directly via our enquire today form and the Total Advice Compliance team can easily arrange your team's training

Get your CPD points today