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Ripoll Report & the financial services industry presentation

Published on 28 Jan 10 by WESTERN AUSTRALIAN DIVISION, THE TAX INSTITUTE

This presentation covers the Ripoll Report findings, recommendations and likely consequences of the recommendations, including:

  • how will the abolition of commissions change the financial services industry?
  • the values of financial services businesses
  • likely approaches to ASIC auditing
  • how much difference will a legislated fiduciary duty make, if any?
  • how would the proposed MIS capital requirements operate?
  • the new professional standards board - how will this interact with ASIC's powers to ban? 

Author profiles:

Mark HALSEY
Mark Halsey is a Solicitor with Halsey & Associates and has extensive practice relating to FSR issues. Prior to becoming admitted, he was involved in the funds management and insurance industries including three years as a private client adviser with stockbrokers Saw James. He was also State Financial Planning Manager - MLC Financial Planning Services in WA. Mark advises a wide range of clients in financial series, corporation law, insurance and banking issues and has provided legal services and training series to a broad range of organisations. During 2001 Mark jointly conducted the national compliance review of dealer groups Securitor and PACT, in conjunction with international law firm Minter Ellison. Halsey & Associates was established in 2000.

Current at 31 October 2003 Current at 19 March 2010

Click here to expand/collapse more articles by Mark HALSEY.
 
Fiona HALSEY
Current at 26 May 2009 Click here to expand/collapse more articles by Fiona HALSEY.

 

Individual sessions

Ripoll Report & the financial services industry

Author(s):  Fiona HALSEY,  Mark HALSEY

Materials from this session:

Further details about this event:

 

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