Financial Planning Australia-advice in securities and derivatives

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Advice in Securities and Derivatives (DFS 3) - Tier 1

This course covers Derivatives and Securities advice and products including analysing financial risk and financial markets. It is an ideal learning pathway for those wishing to offer general product advice to retail clients and those supporting financial advisers.

As of 1 January 2019, those entering the financial planning industry (new advisers) seeking to join an AFSL (Dealer group) and offer personal advice to retail clients, will require a degree level qualification. For further information please refer to the FASEA standards -

Completion of this course will allow you to give your clients advice in this area, provided you are an accredited authorised representative of an AFSL Licence holder. Some dealer groups (AFSL Licence holders) may also require you to complete the Diploma of Financial Planning FNS50615 (DFS1) and the other related Advice in modules.



Available in all states via:
• Face to face (Classroom)
• Correspondence - online access plus a hard copy of the course manual will be posted to you.
• Online
This course can also be delivered for groups and on demand. Please contact us on 08 9344 4088 or for further information.

Regardless of your preferred delivery choice, qualified trainers will always be contactable for tutoring and assistance both via email and telephone. Also if have undertaken this course via face to face previously with AAMC and there are any areas you still do not understand you are welcome to return for free to the next available class covering this module.



For all delivery options, you will need to have access to a computer with an internet connection. There are currently no entry requirement for this qualification.



Your enrolment is valid for a period of twelve months. With reference to “face-to-face” training; participants are guided through the learning material and the assessments are completed by the participant post class time. Hence overall course completion is controlled/ directed by the participant.



• 6 units of competency
• 4 Multiple choice online assessments
• Skills assessment/Role play 
• 5 Written assessments/Case studies



FNSASICW503 Provide advice in Securities
FNSASICV503 Provide advice in Derivatives
FNSFMK502 Analyse financial market products for client
FNSFMK503 Advise clients on financial risk
FNSCUS505 Determine client requirements and expectations
FNSCUS506 Record and implement client instructions



CPD Hours – 3


  • Technical Competence: 1.5 hours
  • Client Care and Practice: 0.5 hours
  • Regulatory Compliance and Consumer Protection: 0.5 hours
  • General: 0.5 hours


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  • Unit 1, 421 Blackshaws Road,
    Altona North, Victoria 3025

    Phone: 1300 2262 33 +61 3 9391 3643
              1300 AAMC ED +61 8 9344 4088


System Requirements

  • What computer and software will be needed?
    • Windows XP or Linux based computer with internet connection.
    •  Internet Explorer 8.0 and above OR Mozilla Firefox
    •  Quick Time Player 4 and above
    •  Acrobat reader 6 and above
    •  Adobe Flash Player
    Download speeds
    •  Min 2 Mbps or above speed is required for running video

Latest Reviews for Advice in Securities and Derivatives (DFS 3) - Tier 1
  • Good programme
    Werner New South Wales