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FAQ

How should licensees document adviser training and continuing professional development (CPD)?

Under the Continuing Professional Development Standard 2018 and ASIC’s RG 146, each adviser must maintain a structured CPD plan. Licensees should document:

  • Annual CPD plans with measurable learning objectives;
  • Evidence of training provider quality and course content;
  • Training logs capturing completion dates and hours;
  • Verification of technical, regulatory, and ethical competencies;
  • Internal reviews confirming that training aligns with the adviser’s authorisations and business strategy.

ASIC encourages firms to integrate CPD tracking into HR or CRM systems to enhance audit readiness and professional development oversight.

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