Retail Client Adviser Accreditation and Responsible Executive Examinations

As noted in ASIC Regulatory Guide 214 Guidance on ASIC market integrity rules for ASX and ASX 24 markets (RG 214), in order to ensure a smooth transition of supervisory responsibility from ASX to ASIC , there is a need for transitional arrangements, including the grandfathering of existing accreditations and courses.

On this basis and in accordance with the ASIC/ASX market integrity rules, ASIC approves the following:

Level One Accredited Derivatives Adviser

Accreditation Examinations for Level One Accredited Derivatives Advisers

1. ASX Level One Accreditation Examination administered by Kaplan Education Pty Ltd (offered before 1 August 2010), or

2. Accredited Derivatives Adviser Level 1 (ADA1) provided by Kaplan Education Pty Ltd (offered after 1 August 2010).

Level Two Accredited Derivatives Adviser

1. ASX Level Two Accreditation Examination administered by Kaplan Education Pty Ltd (offered before 1 August 2010), or

2. Accredited Derivatives Adviser Level 2 (ADA2) provided by Kaplan Education Pty Ltd (offered after 1 August 2010).

NB: Successful completion of one of the Accreditation Examinations for Level One Accredited Derivatives Advisers must also be completed (prior) in order to meet the requirements of the ASIC/ASX market integrity rules.

Accredited Futures Adviser

1. AFMA Futures Module.

Responsible Executive

1. The ASIC Market Integrity Rules (ASX Markets) 2010 RE Exam (Markets RE Exam) provided by the Stockbrokers Association of Australia.

Other grandfathered courses

1. Derivatives subject of the Stockbrokers Association of Australia Professional Program, or

2. Equity Markets module of the AFMA Financial Markets Accreditation Program.

3. Accredited Derivatives Adviser Level 1 (ADA1) provided by Stockbrokers Association of Australia.

4. Accredited Derivatives Adviser Level 2 (ADA2) provided by Stockbrokers Association of Australia.

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Last updated: 28/08/2013 12:00