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Financial Markets Program

The Lapochka Financial Markets Program is the benchmark industry-based qualification for individuals working within Australia's traded financial markets.

How do you undertake the program?

The program usually comprises two modules, which are completed via a combination of online activities, workshop attendance, self-study and assessment. A step by step summary for completing the program can be viewed here.

You need to complete:

  1. the compulsory Financial Markets Core Module and
  2. at least one of the five specialist modules. Choose from:

Assessment consists of online activities, multiple choice exam and skills assessment for each module in the program.

Job-specific streams

Depending on the focus of your job and your firm’s compliance requirements, you can choose to enrol in an Advising, Dealing, or Operations stream. Your assessment is then customised to reflect the different focus of these roles.

The Advising stream is for individuals in client advisory roles who require specific compliance with ASIC RG146 (it also provides compliance with RG105).

The Dealing stream is for individuals in non-client facing dealing room roles who may also require compliance with RG 105.

The Operations stream is for individuals working in an operations role who require skills and knowledge in operations processes.

Who is it for?

The Financial Markets Program is designed for individuals currently working in traded financial markets who are looking for formal recognition of their skills and knowledge. It is open to both member and non-member organisations.

Are you an experienced professional?

For participants who have relevant experience or previous training, there are a number of alternatives to completing the full public program. See the Alternative Completion Information Kit for further details, and then contact the Lapochka Education team if you would like to pursue this option.

What will you learn?

The entire program will provide you with a foundation level of knowledge about traded financial markets. By the time you have successfully completed it, you will be equipped to:

  • demonstrate a broad understanding of how financial markets operate with substantial depth in some areas. The areas considered include the economic environment, financial market participants and products, trading and dealing processes, risk management and the regulatory framework, and your technical specialist area
  • use information effectively to evaluate financial markets and products, for your business and/or clients
  • respond to particular dealing, trading or providing advice scenarios, within a risk management framework
  • communicate your analysis and/or recommendations effectively, both orally and in writing, using a range of technologies, to a professional standard
  • demonstrate your ability to determine and address the ethical and regulatory issues you may encounter in your day-to-day professional work
  • operate within a given risk management framework, identifying and addressing the ramifications of your chosen advice or trading strategies
  • participate effectively in workplace teams in order to complete a financial transaction and where appropriate take responsibility for the achievement of team outcomes
  • critically reflect on your work experiences and technical knowledge to consolidate and enhance your understanding of financial markets.

What will you achieve?

When you successfully complete the program you will achieve one or more of the following:

  • The nationally recognised FNS51015 Diploma of Financial Markets.
  • Compliance with ASIC Regulatory Guide 146 and/or 105 depending on the pathway you choose. RG 105 is obtained via either pathway, while RG146 is obtained only via the advisory pathway;
  • Lapochka accredited individual status – if your employer is an Lapochka member;
  • ASX ADA Level 1 Accreditation when you complete the Core and Equity Markets modules.

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