Fast track your FASEA Exam Preparation

FASEA Exam Prep Workshops

FPA Accreditation No: 023576
6.75 hours - total active hours
3 .5 hrs - Regulatory compliance & consumer protection, 2.5 hrs - Professionalism and ethics, 0.75 hrs - Client care & practice

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FASEA Exam Prep Workshops

"Brilliant workshop. Interesting, focused, use of exercises case studies and multiple choice questions keeps you engaged for the full day. Very helpful in preparing for the exam.”

Brisbane, September 2019 Workshop attendee

Or, do your FASEA Exam Prep online!

FASEA Exam Prep Live Online Web Series or On-demand

FASEA Exam Prep Options

Created to get you exam ready, this intensive FASEA Exam Prep workshop is designed by industry specialists to bring you up to speed as quickly as possible. It's pragmatic, detailed and backed-up by reference materials to support you.


COVID-19 Update: Dates and locations are subject to COVID-19 restrictions and our capacity to create a safe workplace for our guests and presenters. In the event we cannot host the workshop, you will be offered our live webinar options, on-demand, or a full refund.


Knowledge Shop Members, log in here for your discounted rate.

Online sessions are available!

8:30am registration, 9:00am to 5:00pm workshop


Click on your date to register.

Knowledge Shop Members, log in here for your discounted rate.


8:30am registration, 9:00am to 5:00pm workshop


Click on your date to register.

Knowledge Shop Members, log in here for your discounted rate.

Friday, 15 October 2021

8:30am registration, 9:00am to 5:00pm workshop


Click on your date to register.

Knowledge Shop Members, log in here for your discounted rate.


8:30am registration, 9:00am to 5:00pm workshop


Click on your date to register.

Knowledge Shop Members, log in here for your discounted rate.


8:30am registration, 9:00am to 5:00pm workshop


Click on your date to register.

Knowledge Shop Members, log in here for your discounted rate.


8:30am registration, 9:00am to 5:00pm workshop

What we cover

The FASEA Exam Prep Workshop walks you through all of the FASEA prescribed exam topics in one day (because you don't really know what the exam will test).

  • All the FASEA prescribed exam subjects in one day
  • Explained through case studies and examples
  • Exam style multiple choice and short answer questions worked through on the day
  • Supported by detailed notes and workbook for further study


Financial Advice Regulatory and Legal Obligations

Incorporating Corporations Act – Chapter 7, Anti-Money Laundering (AML), Tax Agents Services Act (TASA)):

  • Obligations under Chapter 7 (financial services and markets), Corporations Act 2001
  • The Statement of Advice (SOA) and the essential requirements
  • Implications of breaching the financial disclosure obligations
  • Breaches and the notification obligations – when a breach has occurred and what you need to do
  • The legal requirements for individual and licensee
  • Anti-money laundering and the Counter-Terrorism Financing rules – the legal requirements when providing advice
  • Privacy obligations under the Privacy Act when providing financial advice
  • Compliance with the Tax Agents Services Act requirements as a registered Tax Adviser

Applied ethical and professional reasoning and communication

So, you think ethics is ‘soft’? We explore the  requirements under FASEA and the border line issues that will test your knowledge and compliance with the Code.

  • The FASEA Code of conduct – what you are required to do and how you need to act?
  • The Code of Ethics explored:
  • The Code’s impact and importance for planners and advisers
  • What the code means in real life client scenarios – dilemmas and issues
  • Applying the Code and your professional standards
  • Acting in the best interests of your client – what that really means
  • Due diligence and your clients files and records – the essential internal processes to maintain compliance
  • Putting ethics in practice

Financial Advice Construction

  • Key steps in the advice process
  • When are you giving advice?
  • Fee disclosure and renewal requirements
  • Identifying and aligning advice to different consumer groups
  • Understanding the environment in which financial product advice is sought and given for new and existing clients
  • Key documentation requirements
  • Meeting your client best interest duty
  • Preventing misconduct and inappropriate advice
  • Evaluating and applying advice strategies for different retail clients 

Has it been a while since you sat an exam?

We recap the most effective ways to study to maximise your time and results. Beware the danger of thinking you can simply wing it because you work in this field - your ‘practical’ or common knowledge might not align with the theoretical knowledge required.

The FASEA exam

Existing advisers must pass the FASEA exam by 1 January 2022*. 

Exams will be marked to a credit level and the candidate will be awarded a “pass” or “fail” on this basis.

If you fail the exam, you need to wait 3 months before you can sit the exam again. Do not leave it until the last minute to sit the exam. If you have not passed the exam by 1 January 2022 you will not be able to continue to provide financial advice.

About the exam:

  • 3.5 hour exam (including reading time)
  • Practical application of adviser knowledge in the following competency areas:
  • Financial adviser regulatory & legal obligations(Corporations Act chapter 7, anti-money laundering, Tax Agents Services Act)
  • Financial advice construction- suitability of advice aligned to different consumer groups, incorporating consumer behaviour and decision making
  • Applied ethical and professional reasoning and communication incorporating FASEA Code of Ethics and Code of Monitoring Bodies
  • Limited open book (statutory materials only)
  • The exam is at least 70 questions - At least 64 multiple choice questions and at least 6 written questions. 

*Treasury Laws Amendment (2019 Measures No.3) Bill 2019 , which received Royal Assent on 22 June 2020, provided an extension to the education requirements for financial advisers:

  • Complete the FASEA-approved exam by 1 January 2022 (one additional year); and
  • Meet FASEA's qualification requirements by 1 January 2026 (two additional years).

See: FASEA Final Financial Adviser Exam Legislative Instrument

Our presenter

Conrad Gilbert

With Conrad Gilbert
CFP, Dip FP, B Comm, Grad Dip RS, MBA

Professionalism & Ethics Adviser

Knowledge Shop

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Conrad has spent his career working in and exploring financial advice and now brings the practical and technical together in his role with Knowledge Shop. Conrad works with accountants and advisers to navigate the practical impact of the new financial services regime on them, their practice and their clients.

A sessional academic at Griffith University, Conrad held senior executive roles with national financial planning networks and was a former financial advice specialist with BT and Cooper Reeves.

Conrad holds an MBA from the University of Qld, a Bachelor of Commerce from Griffith University and a Diploma of Financial Planning (DipFP) with Deakin University.