RG 146: A Case Study

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Financial planners in Australia need to have undertaken training outlined under RG 146 to ascertain eligibility in the provision of both financial and general advice to clients under the Corporations Act in 2001. Both corporations and individuals holding financial licenses must satisfy the requirements set out under RG 146.17, (Australian Foundation & Investment Commission, 2012, p. 9).

Certain individuals are exempt from undertaking mandatory training in obtaining a financial planning license. Such exemptions include, but are not limited to, non-financial related advice under RG 146.18 and general advice towards wholesale clientele under RG 146.21, (Australian Foundation & Investment Commission, 2012, p. 10). Back office researchers (para-planners)
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