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Financial Adviser Exam Preparation IQ

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Interactive video based online training to get you exam ready

7.5 CPD hours (est.)

Three interactive on-demand online exam prep modules and additional practice questions and answers to get you exam ready

Preparing for the Financial Adviser Exam requires more than just memorising legislation, it demands a deep understanding of how to apply complex regulatory, ethical, and strategic advice principles in real-world scenarios. Knowledge Shop IQ’s online exam preparation course is designed by industry specialists to give candidates a comprehensive, practical, and flexible learning experience. Delivered through three interactive, on-demand modules, the course covers all prescribed exam topics: 

  • Financial Advice Regulatory and Legal Obligations, 
  • Applied Ethics, and
  • Professional Reasoning and Financial Advice Construction.

Each module is packed with exam-style embedded quiz questions to test and refine your knowledge and includes worked Q&As that explain not just the correct answers, but the reasoning behind them, helping you build confidence and critical thinking skills.

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AU $880 member
AU $990 non-member

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Total 7.5 CPD Hours (est.)

Details

  • All the required topics explained across 3 interactive modules 
  • Exam style embedded quiz questions test and refine your knowledge
  • Detailed reference notes for further study
  • Additional 44 practice questions and answers
  • 24/7 access (3 months to complete from launch)
  • Ability to complete training on almost any device, allowing you to study anytime, anywhere

FAAA accreditation

Need group or dealer group rates?

Email Mark Hua at cpd@knowledgeshop.com.au

Terms & conditions: All registrations to Knowledge Shop events are subject to our terms and conditions which include a cancellation policy. No refunds are available once the IQ training has been accessed.

"I studied your workshop intently and pleased to announce that I passed the exam. The reason I am telling you is for some feedback for your course. I found it completely helpful! Cheers mate and thanks for your assistance.”

Knowledge Shop IQ Exam Prep participant 

What we cover

The Financial Services Exam Prep IQ walks you through all of the required exam topics (because you never really know what the exam will test).

  • Explained through case studies and examples
  • Exam style multiple choice quiz questions throughout
  • Additional practice questions and answers at the end of the modules
  • Supported by detailed notes for further study

Total: 7.5 CPD Hours (est.)

  • 2 hours: Professionalism & Ethics
  • 4.5 hours: Regulatory compliance and consumer protection
  • 1 hour: Client care and practice

Financial advice, regulatory and legal obligations

  • 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 

Applied ethical and professional reasoning and communication

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

  • The Adviser's Code of Ethics – 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's best interest duty

Our presenter

Professionalism & Ethics Adviser, Knowledge Shop

with Conrad Gilbert

Conrad R2

Conrad works with the profession to navigate the practical impact of change on advisers, their practices, and their clients. He has over 30 years’ experience in the Financial Services Industry, working across insurance and financial planning. Before joining Knowledge Shop, he held senior executive roles with national financial planning networks.

In addition to his work with Knowledge Shop, Conrad is currently completing a PhD in Finance and Financial Planning at Griffith University. He holds an MBA from the University of Qld, a Bachelor of Commerce from Griffith University and a Diploma of Financial Planning from Deakin University.