Application for RPL Assessment only pathway:

Professionalism: Conduct and Ethics

A. Entry Requirements

To be accepted for the RPL assessment-only pathway of the Professionalism: Conduct and Ethics course, applicants must provide evidence in their application that satisfies two main criteria:

  • At least 5 years’ experience in the financial services industry
  • Training and/or professional experience to justify exemption of the learning stage of the course
B. Instructions
  1. Complete all sections of this Application form.
  2. Read the course brochure and ensure that you provide all the information required
  3. Read Section C of this form carefully to ensure your application meets the documentary requirements.
  4. Submit the completed form with all supporting documentation
  5. For further information on how to complete this application please see this link.
C. Essential supporting documentation

Apart from completing all sections of this application form, including the Financial Services Experience section, all applications must include a clear copy of the applicant’s up to date resume.

D. What's next?

AFMA will advise you as to whether or not your application has been successful within five (5) business days. If your application is successful, AFMA will also send you a registration form for the Assessment Only Pathway.

E. Privacy Statement

Under the Data Provision Requirements 2012, AFMA is required to collect personal information about you and to disclose that personal information to the National Centre for Vocational Education Research Ltd (NCVER).

Your personal information (including the personal information contained on this enrolment form and your training activity data) may be used or disclosed by AFMA for statistical, regulatory and research purposes. AFMA may disclose your personal information for these purposes to third parties, including:

  • Employer – if you are enrolled in training paid by your employer;
  • Commonwealth and State or Territory government departments and authorised agencies;
  • NCVER;
  • Organisations conducting student surveys; and
  • Researchers.

Personal information disclosed to NCVER may be used or disclosed for the following purposes:

  • Issuing statements of attainment or qualification, and populating authenticated VET transcripts;
  • facilitating statistics and research relating to education, including surveys;
  • understanding how the VET market operates, for policy, workforce planning and consumer information; and
  • administering VET, including programme administration, regulation, monitoring and evaluation.

You may receive an NCVER student survey which may be administered by an NCVER employee, agent or third party contractor. You may opt out of the survey at the time of being contacted.

NCVER will collect, hold, use and disclose your personal information in accordance with the Privacy Act 1988 (Cth), the VET Data Policy and all NCVER policies and protocols (including those published on NCVER’s website at


* required


2. Financial Services Experience

You must provide evidence of at least 5 years’ experience in the financial services industry. Please provide this evidence by completing the table below and attaching a more detailed up-to-date resume which correlates with this information.

Only your most recent financial services industry experience needs to be input into the table, but there must be a minimum of 5 years’ experience in this table.

(month & year)
FT, PT or Casual
Main Duties

Add Experience

Note: If part-time or casual, pease indicate hours of work per week.

3. Training and professional experience

The Professionalism: Conduct and Ethics course teaches and assesses the following two competencies:

  • FNSINC503 Identify situations requiring complex ethical decision making
  • FNSINC504 Apply ethical frameworks and principles to make an act upon decisions

In order to be exempted from the learning activities of the course and be eligible for the assessment only version, you are required to demonstrate that you have evidence of equivalent learning. This may be in the form of training (external or internal to your employer), and/or on-the-job professional experience that has enabled you to possess these competencies.

On the job experience may include experience in the following:

  • Making decisions about complex issues that have an ethical component
  • Raising issues in the workplace using organisational processes and procedures
  • Determining the legal and organisational protections available when responding to ethical issues
  • Using judgement, as well as technical skills, to balance competing needs of different stakeholders.
  • Undertaking work responsibilities in compliance with relevant regulatory requirements
  • Responding to workplace ethical situations by applying interpersonal skills that support a positive outcome

For further information on what may constitute evidence of equivalent learning, please refer the detail of the two units of competency (FNSINC503 and FNSINC504), particularly the knowledge and performance evidence of each. In order to support your application, please provide evidence of equivalent learning (training and/or professional experience) in the spaces provided below.

3a. Training

Please provide evidence of any training undertaking that supports your application for learning exemption:

Name of training course
Name of Provider
Length of course (hrs/days)
Course details/topic list

3b. Professional experience

Please provide a statement of your professional experience that supports your application for learning exemption. A concise summary paragraph is sufficient for this section.


4. Declaration and Signature

I wish to be considered for Assessment only pathway to the Professionalism: Conduct & Ethics in this Application form.

  • I declare that the information supplied in this application and the documentation supporting is correct and complete.
  • I acknowledge that providing false or misleading information may result in the cancellation of this application and/or withdrawal of any offer and/or enrolment.
  • I authorise AFMA to verify any information provided by me.
  • I authorise AFMA to obtain, where necessary, from any other educational institution, evidence of my academic record or to seek other corroborating evidence with respect to my application.
  • I authorise AFMA to release details of my academic records as requested by other education institutions to assist and corroborate the processing of applications I may make to such institutions.
  • I consent to the collection, use and disclosure of my personal information in accordance with the Privacy Notice above.
  • I understand that AFMA may disclose the personal information I have given in this application to the Department of Education and Training or its successor, and that the Department will collect and store my personal information for:
    (a) use in connection with the National Data Collection on Applications and Offers, and/or
    (b) other collections as the Department, or its successor, may lawfully require from time to time.
I agree with the terms above*:

NB: Your application may be cancelled if you do not provide true and complete information in connection with your application, or if you make any changes to the above declaration and authority

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