Completed
Date

Tuesday 5 December 2017

Time

12:00 pm

Duration

1.5 CDP hours

Session Topic

Knowing your AFSL risks?

Australian Financial Services Licencees are a particular focus for ASIC. There has been surveillance insights, regulatory action and new guidance. Governance, management and auditors need to be aware of these developments to discharge their obligations under the Corporations Act. The session will review:

  • Regulatory guidance on risk management for responsible entities
  • ASIC’s report Culture, conduct and conflicts of interest in vertically integrated businesses in the funds-management industry
  • ASIC’s Review of Custody arrangements in Funds Management
  • Enforcement actions and lessons
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This session is presented by:

Colin Parker

Principal | GAAP Consulting | Financial Reporting Expert

Colin, Principal of GAAP Consulting, is an expert in financial reporting, auditing and related governance issues, and was previously a member of the Australian Accounting Standards Board. He has conducted many independent expert and consulting experts reports on professional negligence, and accounting and auditing standards. He is the team leader advisory and litigation services and adviser to GAAP Training and Reportfraud.