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?
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
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