AES3 Derivatives

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AES3 Derivatives

Course details last updated on the register on 14/09/2011
COURSE DETAILS

Course Name

AES3 Derivatives

Course Information

For full RG146 compliance against the specified knowledge and skills, participants must complete AES3 Derivaties; AESG Generic Knowledge and the Financial Education Professionals skills module. Note: GST is payable additional to the course cost below. Should the Skills module not be completed, the student has gained RG146 compliance in Derivatives General Advice only.

Award Given at Completion

Certificate of completion

Specialist Knowledge

Derivatives, Generic Knowledge, Skills

Tier

1

Where Course Delivered

Sydney, NSW regional, Melbourne, VIC regional, Hobart, TAS regional, Adelaide, SA regional, Perth, WA regional, Darwin, NT regional, Brisbane, QLD regional, ACT

Delivery Method

Distance, Individual assessment, Self-paced, Face-to-face

Assessment Type

Examination - closed book, Other - Workplace assessmetn

Start Date

1/9/2003

Re-registration Date

11/9/2011

Duration/Total Hours

20

  

Approximate Cost

$605.00

  

Price valid to 30 June 2012

Pre95

No

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

COORDINATOR DETAILS

Name

Anne Wilkinson, Administrator

Phone Number

02 9252 7437

Fax Number

02 9252 7437

Email Address

enquiries@financialeducation.com.au
COVERAGE GRAPH

TOPICS COVERAGE

Operation of derivatives markets• market participants • roles played by intermediaries • structure and inter-relationships within and between the securities/derivatives sectorsTypes of products• range of derivatives • associated risks • investment options using derivatives products Theories of investment, portfolio management and management of investment and risk• investment concepts • investment strategies • identification of types of risk • client risk profile Taxation• awareness of taxation issues relating to derivativesLegal environment — disclosure and compliance• the role of the representative/adviser • relevant legal principles (eg Corporations Act, ASIC Act, Privacy Amendment (Private Sector) Act) • the relationship between ethics and regulatory requirements (eg good faith, utmost good faith, full disclosure of remuneration/fees and any other conflicts of interest which may influence the adviser’s recommendation) • relevant industry standards and codes of conduct • regulators’ guidelines including our requirements in this policy • complaints resolution procedures (external and, if relevant, internal) • elements of the Registered Representatives Examination (where relevant) • ASE Operating Rules (where relevant)
PROVIDER DETAILS

Provider

Financial Education Professionals Pty Ltd

Contact

Account Executive, Anne Wilkinson

Phone Number

02 9252 7437

Fax Number

02 9252 7437

Email Address

enquiries@financialeducation.com.au

URL

www.financialeducation.com.au

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. http://www.asic.gov.au Copyright � 2007 Australian Securities and Investments Commission.

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Last updated: 30/03/2021 09:38