Client Advisor Competency Standards (CACS) ​Paper 1 - Legislation, Regulation & Industry Codes of Practice

  • Current syllabus (until 31 Jan 2019)
  • - Overview of the Private Banking Business
  • - Marketing Activities and Client Acquisition
  • - KYC and Understanding Client's Needs
  • - Developing Solutions and Advising Clients
  • - Obtaining Client's Agreement and Implementation
  • - Monitoring and Reviewing Client's Portfolios
  • - Wealth Transfer and Succession Planning for Private Banking Clients

  • Revised syllabus (commencing 1 Feb 2019)
  • - Overview of Wealth Management
  • - Private Banking Code of Conduct
  • - Client On Boarding Process
  • - Client Relationship Management
  • - Wealth Transfers and Succession Planning
  • Format: 80 MCQs (computer-based)
  • Duration: 1.5 hours (until 31 Jan 2019)/ 2 hours (from 1 Feb 2019)
  • Pass mark: 75%


The exam results will be displayed on the computer screens after the exam. Printed result slips will not be issued.

        Current fees     
         (until 31 Jan 2019
)​​      
Fees before GST
  1st Attempt Subsequent Attempt
Corporate Members $300 $225
Non-Members $350 $275
Revised fees
(commencing 1 Feb 2019
)​​ 
Fees before GST
  1st Attempt Subsequent Attempt
Corporate Members $330 $310
Non-Members $400 $380

There are no exemptions to CACS Paper 1 as it is a rules and regulations exam.

Register now
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