ASIC Compliance Requirements

For those individuals that provide “retail financial product advice” they must be PS 146 / RG 146 compliant and have successfully completed the appropriate PS 146 / RG 146 Training Courses.

It is now illegal to provide such advice without being authorised to do so (which first requires the attainment of PS 146 / RG 146 competency).

For those wishing to make the transition from non-licensed activities (e.g. Accountancy, Mortgage Brokering, Real Estate etc.) to being able to provide such advice, you must complete the appropriate PS 146 / RG 146 Training Courses.

This qualification must be attained prior to your application to Australian Securities Investment Commission (ASIC) to becoming an Australian Financial Services License (AFSL) holder or an authorised representative of such a body. It is mandatory and details of your accreditation must be included as part of this application to ASIC.

Read more about compliance on our Frequently Asked Questions section.

Like to know more?

For more information on how you can increase your revenue opportunities and becoming PS 146 / RG 146 compliant, check out our Training Courses or Contact Us or call our Customer Care Centre on 1300 306 146 and speak to a qualified consultant today.

Get yourself closer to ASIC compliance today!

Book a PS 146 / RG 146 Training Course via our online registration and enrollment section. Payments for the course can be made online right now via credit card.

And because we have courses running in all Australian mainland capital cities every few weeks, you can be assured of getting a place at a time and place convenient to you and your organisation.

Next Step?

• Call 1300 306 146 to speak to one of our trained consultants, or
• Download an enrolment form