Licensing – Financial Product Advice and Dealing
Course Details
Description
In today’s highly regulated financial landscape, it’s crucial for professionals to clearly understand what constitutes a financial service, when advice becomes regulated, and what actions trigger licensing requirements.
This comprehensive course demystifies the legal definitions of financial product advice and dealing in a financial product as set out in the Corporations Act 2001. Built directly from ASIC’s Regulatory Guide 36 (RG36), it provides clear guidance on when you—or your clients—must hold an Australian Financial Services (AFS) licence or be appropriately authorised by a licensee.
Whether you’re a financial adviser, a product issuer, or a lawyer advising clients in the finance sector, this course gives you the knowledge to operate with confidence and compliance.
Who is this course for?
This course is designed for:
- Anyone preparing to apply for or maintain an AFS licence or authorisation
- Professionals who provide financial product advice or deal in financial products
- Compliance managers and financial planners working in licensed businesses
- Lawyers and legal advisers supporting financial service providers
Receive a Certificate of Completion—ideal for compliance records, CPD recognition, or professional development.
Ready to strengthen your compliance knowledge?
Enroll now and ensure you, your firm, or your clients meet Australia’s financial services laws with clarity and confidence.
Estimated Time To Complete
Learning Outcomes
By the end of this course, you will be able to
