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Securities

Foreign Exchange »
1 out of 4 courses towards your Diploma of Financial Services (Financial Planning)

Course Name:

Duration

Securities

4 days*

Securities Course overview

The Securities Adviser Knowledge & Skills course is designed for individuals who require authorisation by an Australian Financial Services License (AFSL) holder to provide advice on regulated Securities financial products.

For existing authorised representatives this course allows you to extend your advisory range into Securities financial products.

Securities Course outcome

This course will equip you with the specialist knowledge and technical skills to provide compliant advice to clients seeking to manage their currency exposure by using Securities products.

Diploma pathway

The Securities course is an elective module of the Diploma of Financial Services (Financial Markets). The Diploma is an entry level course for individuals seeking to establish a career in providing advice on financial products traded on Australian and International Financial Markets.

Who Should Enrol?

This course is suitable for:

  • individuals seeking employment with Securities dealers
  • individuals engaged in the promotion of Securities products
  • financial advisers to enhance their investment advisory capability
  • asset consultants
  • trustees and Responsible Officer’s with responsibility for portfolios with exposure to Foreign  Exchange products

Course entry requirement

This is an open entry course with no pre-requisite qualifications. In order for participants to successfully complete this course, they are expected to be financially numerate and literate.

Training delivery

Participants can choose from Distance learning or Workshop Course delivery:

Workshop Course
Training and Assessment can be undertaken in a four day intensive workshop. The workshop combines teaching, case study tutorials and activities and a series of mini quizzes to ensure participants demonstrate acquiring the required skills and knowledge. Successful candidates complete the course in two days with no additional assignments or exams. The workshop format is ideal for those seeking a fast track way of achieving Tier 1 compliance.

Distance Learning
Students of the Securities specialist course have up to 4 months to complete the required study. Students are sent course material in hard copy format with all resources provided.
Students have telephone and email access to qualified practitioners who provide timely assessment and feedback. Once assessment activities are completed, candidates simply fax or mail to PS146 Training Australia for assessment. Activities are normally assessed within 5-7 working days. Should any activity be deemed ‘not competent’, written feedback will be supplied in order to provide candidates with the opportunity to resubmit the activity.

Course competencies

Generic

Industry Workplace Competency
FNSICGEN301A            Communicate in the workplace
FNSICGEN302A            Use technology in the workplace
FNSICGEN304A            Apply health and safety practices in the workplace

Sector Core Knowledge
FNSFMKT501A             Analyse financial markets and information
FNSCOMP501A             Comply with financial services legislation, industry and professional codes of practice
FNSICIND401A             Apply principles of professional practice to work in the financial services industry
FNSICADV301A            Provide general advice on financial products and services

Specialist Knowledge
FNSASIC503WA            Provide advice in Securities

Module Content

1. Generic
  • The economic and legislative environment
  • Operation of financial markets and financial products
  • Financial Services Industry workplace environment

2. Specialist Knowledge

  • Operation of Securities markets:
  • Types of Securities products and their application:
  • Investment risk management using Securities:
  • Taxation considerations:
  • Legal environment – disclosure and compliance considerations:

Assessment: Specialist knowledge is assessed by a way of specialist knowledge quizzes.

3. Skills
  • Ability to perform a needs analysis
  • Ability to analyse information and products to ensure appropriateness to client needs, currency and accuracy
  • Analytical skills
  • Presentation skills
  • Customer negotiation skills
  • Effective interpersonal and communication skills

Assessment:Candidates will prepare a written (short-answer) response to a case study. The response will be submitted and discussed in an individual interview (a client advisory simulation) with a qualified skills assessor.

Securities Course assessment

This course is assessed by completion of activities, which include short answer responses, knowledge-quizzes and role play simulations of case studies.

Note – General Advice candidates do not require adviser skills and therefore are exempt from adviser skills assessments.

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