Statutory Oversight of the Australian Securities and Investments Commission: the role of gatekeepers in Australia’s financial services system

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Statutory Oversight of the Australian Securities and Investments Commission: the role of gatekeepers in Australia’s financial services system

Number 3, July 2013

29 July 2013

© Commonwealth of Australia 2013
ISBN 978-1-74229-901-3

View the report as a single document - (PDF 1121KB)


View the report as separate downloadable parts:

Spacer Image
Members of the Committee (PDF 90KB)
 
Duties of the Committee (PDF 85KB)
 
Abbreviations (PDF 8KB)
 
Chapter 1 - Introduction (PDF 30KB)

The public hearing
Key issues and the structure of the report

 
Chapter 2 - The gatekeeper framework in Australia (PDF 323KB)

Background
The gatekeepers

 
Chapter 3 - Interaction between research houses, fund managers, financial planners and financial advisers (PDF 244KB)

Introduction
Committee view

 
Chapter 4 - Interaction between custodians, responsible entities, trustees and auditors (PDF 229KB)

Role of the custodian
Discussion on the role of trustees and the business and governance models of responsible entities
Committee view

 
Chapter 5 - Further topics of discussion at the gatekeeper roundtable (PDF 159KB)

Committee view

 
Appendix 1 - Public hearings and witnesses (PDF 41KB)
 
Appendix 2 - Answers to questions on notice (PDF 86KB)

For further information, contact:

Committee Secretary
Parliamentary Joint Committee on Corporations and Financial Services
Parliament House
Canberra ACT 2600
Australia

Phone: +61 2 6277 3583
Fax: +61 2 6277 5719
Email: corporations.joint@aph.gov.au

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