QUESTION

You have recently been appointed as a trainee financial adviser for a large financial institution. Your manager asks you to run a training session for the financial advisers. She asks you to lead the discussion and answer the following questions.

a What role does alternative dispute resolution play in resolving disputes between clients and licensees in the investment industry? (10 marks)

b In relation to companies, what is meant by the doctrine of separation of powers? How does this doctrine affect shareholders/investors? Support your answer with examples and relevant legislation and/or case law. (10 marks)

c Explain the purpose of the 'Superannuation Guarantee Contribution system'? How does this fit into government policy? (5 marks)

Support your analysis with relevant legislation and /or case law.