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Promoter penalties - don't be fooled you may be at risk paper


This paper provides practical advice in the following areas:

  • how you can draft engagement letters to make clear your role
  • how you can still obtain the mere advice exception when also drafting documents and preparing accounts
  • when you will be acting as more than an adviser and have a penalty exposure
  • whether you have a problem if the promoter uses your advice letter in the marketing material and, if so, how you can protect yourself.
This paper includes some minor updates made by Mark Robertson for presentation on 15 February 2007 at the 2007 Financial Services Taxation Conference held on the Gold Coast and on 23 February 2007 at the Promoter Penalties seminar held in Brisbane.


This was presented at 2007 Financial Services Taxation Conference: Financial Services Unleashed .

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