Course Curriculum

  1. Introduction

  2. Business Practices

  3. Advice Audit Questions & Compliance Tips

  4. Meeting Documentation Requirements

  5. Quiz

About this course

  • $124.00
  • 1.5 hours of video content
  • 1.25 CPD Hour/Point
  • Multiple Choice Assessment
  • Delivery: Online, Self-paced

About this course

Our Tips to Prepare for an Advice Audit short course will show you what you need to do to get ready to receive an advice audit

What you will learn

  • What an advice auditor is looking to see in Adviser's advice files when they audit them

  • What you can do now to be as prepared as you can be for an advice audit

  • How to feel confident that your advice files meet all compliance requirements before your next advice audit

Who is this short course for?

• Financial Advisers • Financial Planning Practice Managers • Paraplanners • Responsible Managers • Client Support Representatives • 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

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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
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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