Compliance Qualifications

ANZIIF offers a range of Australian Securities and Investments Commission Regulatory Guide 146 (ASIC RG146) compliance solutions for financial services professionals.

There are two levels of compliance within ASIC RG 146, Tier 1 and Tier 2.

Tier 1 compliance

Tier 1 compliance is compulsory for those giving detailed advice in insurance broking, life insurance, superannuation, financial planning, managed investments, derivatives, securities and personal accident and sickness products.

Tier 2 compliance

Tier 2 General Insurance compliance is required for those who provide general advice on insurance products and/or on personal accident and sickness products.

Select a course from the list below to find out more.

  • General
    Insurance

    Financial Planning

    General
    Insurance

    For general insurance, there are two levels of compliance within ASIC RG 146 -Tier 1 and Tier 2. 

    Tier 1 
    Tier 1 compliance is compulsory for those giving advice on personal accident and sickness products. 

    Tier 2 
    Tier 2 general insurance compliance is required for those who provide advice on all other general insurance products, except personal accident and sickness.

    ANZIIF offers a number of pathways to these qualifications. The direct path to Tier 1 General Insurance Personal Accident and Sickness compliance is to study GI401 and GI402, both of which belong to the Certificate IV in General Insurance. Alternatively, if you have undertaken previous study, you may be able to follow an upgrade or bridging pathway. The upgrade and bridging modules enable students to upgrade from Tier 2 compliance to Tier 1 compliance or to cross between Tier 1 Broking compliance and Tier 1 General Insurance compliance. The modules also provide credit for specific award course modules, as well as a resulting pathway into a certificate or diploma qualification.

    Upon gaining a Tier 1 or Tier 2 qualification, you can become an affiliate member of the Institute.

    Tier 1 General Insurance Personal Accident and Sickness compliance

    Bridging from Tier 1 Insurance Broking compliance

    Tier 2 Compliance Personal and General Advice

    Upgrade from ASIC Tier 2 compliance 

    Tier 2 Compliance General Advice

  • Insurance Broking

    prof_qual_ib

    Insurance Broking

    Tier 1 compliance is compulsory for those giving advice in insurance broking. ANZIIF offers a number of pathways to  this qualification. The direct path to Tier 1 Insurance Broking Compliance is to study the modules of IB501 and IB502 of the Diploma in Insurance Broking. Alternatively, there is an accelerated program specifically tailored for compliance (IB500).

    If you have undertaken previous study you may be able to follow a bridging pathway. The bridging module enable students to cross between Tier 1 General Insurance compliance personal accident and sickness to Tier 1 Insurance Broking Compliance. The modules also provide credit for specific award course modules and a resulting pathway into a certificate or diploma qualifications.

    Upon gaining a Tier 1 Insurance Broking Compliance qualification you can become an affiliate member of the Institute.

    Select from the course list below  to find out more:

    Tier 1 Insurance Broking Compliance

    Tier 1 Insurance Broking Compliance Accelerated 

    Providing insurance advice for broking clients (pathway from Tier 1 Personal Accident and sickness)

    Diploma Progression from Tier 1 Insurance Broking Compliance

    Tier 2 Personal Advice for Brokers

  • Life Insurance

    prof_qual_li

    Life Insurance

    ANZIIF offers a Tier 1 compliance solution for those customer facing staff working in the life sector who provide advice to clients on life insurance products and services.

    Upon gaining a Tier 1 qualification, you can become an affiliate member of the Institute.

    Tier 1 Life Insurance Compliance