The Institute has developed this simple self-help guide to assist you in answering
the following questions relating to ASIC PS 146 compliance.
Do I need to be compliant?
What type and level of compliance do I require?
Am I already compliant?
What evidence do I require to demonstrate compliance?
If I need to undertake training, what are my options?
ASIC PS 146 sets the minimum training standards for people who provide financial
product advice to retail clients. PS 146.3 states
...in general, advisers will meet the training standards by completing
training courses listed on the ASIC
Training Register relevant to their advisory activities. As an alternative,
advisers can demonstrate their competence through individual assessment.
By working through the following four steps, you will be able to determine
how PS 146 affects you.
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Step 1: Determine whether you are required to be compliant.
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Step 2: Determine the type and level of compliance required. |
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Step 3: Determine whether you are already compliant. |
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Step 4: Consider your options if training is required.
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Begin the the Self Assessment process >>>
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All information contained in this guide is based on the latest
available version of ASIC Policy Statement 146 (issued 20 January 2003). This
is a guide only and it is the responsibility of your licensee to ensure you
are compliant.
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