Advanced Diploma of Financial Planning

Advanced Diploma of Financial Planning

Course details last updated on the register on 30/03/2012

Course Name

Advanced Diploma of Financial Planning

Course Information

Tax and Estate Planning, Advanced Financial Planning (was Complex financial planning) and Professional Adviser PLUS three elective subjects: • Margin lending (was Margin lending & geared investments) • Managed Investments (MI) • Securities(SEC) • Derivatives (DER) • Insurance and Risk Protection (IRP) • Superannuation (SUP) Please check Statement of Attainment to confirm Units of Competencies undertaken and to determine RG146 outcomes.

Competencies Covered

Tier 1 Units of Competencies (note each one has 4 pre-requisite units) FNSASICR503A Provide advice in Margin Lending FNSASICT503A Provide advice in Managed Investments FNSASICW503A Provide advice in Securities FNSASICV503A Provide advice in Derivatives FNSASICU503A Provide advice in Superannuation FNSASICX503A Provide advice in Life Insurance Plus the ASIC Tier 2 competencies for general insurance: FNSASIC301C Establish client relationship and analyse needs FNSASIC302C Develop, present and negotiate client solutions

Award Given at Completion

Advanced Diploma

Specialist Knowledge

Securities, Derivatives, Managed Investments, General Insurance, Life Insurance, Generic Knowledge, Skills, Margin Lending Facility



Where Course Delivered

All of Australia

Delivery Method

Distance, Offsite training room, One-on-one supervised, Onsite training room, On-the-job, Self-paced, Face-to-face

Assessment Type

Examination - closed book, Case study, Other - Presentations

Start Date


Duration/Total Hours



Approximate Cost





This course was being offered as at 24 September 2012 when the Training Register was archived.



David Indge

Phone Number

1300 662 203

Fax Number

02 9908 0250

Email Address


Tax and Estate PlanningTopic 1 – Introduction to taxation, estate planning and the planner’s role Topic 2 - Features of the Australian tax system Topic 3 - Income and capital gains Topic 4 - Deductions, offsets and cash flow Topic 5 - Estate planning Topic 6 - Business succession planning Advanced Financial Planning (was Complex Financial Planning)Topic 1 – The financial advice process Topic 2 – Financial statements Topic 3 – Preparing recommendations Topic 4 – Developing the Statement of Advice Topic 5 – Presenting, implementing and reviewing a plan Professional AdviserTopic 1 – Client engagement Topic 2 - Building an advice role Topic 3 – Growing the business Topic 4 – Pricing advice Topic 5 – Leading others Topic 6 – Personal Development Planning Investment Products3 of the following subjects: • Margin lending and geared investments • Securities • Derivatives • Managed investments Margin lending (was Margin lending and geared investments)Topic 1 – Regulation of margin lending and geared investments Topic 2 – Gearing Topic 3 – Fundamentals of Margin Lending Topic 4 – Alternative gearing strategies and taxation SecuritiesTopic 1 – Foundations of securities Topic 2 – Equity securities Topic 3 – Debt securities Topic 4 – Evaluating and trading Securities Topic 5 – Regulation, documentation and tax Topic 6 – Assessing financial risk for client portfolios Managed InvestmentsTopic 1 – Foundations of managed investments Topic 2 – Managed investment structures Topic 3 – Analysing and evaluating managed investments Topic 4 – Regulation, documentation and tax DerivativesTopic 1 – Foundations of derivatives Topic 2 – Derivative products Topic 3 – Analysing and evaluating derivatives Topic 4 – Regulation, documentation and tax Topic 5 – Assessing financial risk for client portfolios


Kaplan Education Pty Ltd (formerly Tribeca Learning (Australia) Pty Ltd)


David Indge, Head of Operations and Customer Service

Phone Number

1300 662 203

Fax Number

02 9908 0250

Email Address


Important Notice

This service is provided solely for general information purposes. By provision of the service ASIC does not provide legal or other professional advice. ASIC expressly disclaims any liability arising from use of the service. If you require legal or other expert advice or assistance, you should seek the services of a competent professional person.

Created by the Australian Securities and Investments Commission. Copyright � 2007 Australian Securities and Investments Commission.

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Last updated: 30/03/2021 09:38