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Trusts - compliance and risk

NZ $28.00
Sarah Parsons 2014
Sarah Parsons 

This book is only available in PDF format

Author: Sarah Parsons
Published: 24 October 2014
Pages: 32


The key to looking at trusts from a compliance and risk perspective is to identify the areas of trust establishment, administration and management where possible issues may arise and then implement suitable strategies to help ensure compliance and manage risk.

This approach includes drafting documents tailored specifically to a client’s circumstances but future-proofing those documents to allow for the reasonably unexpected – as there is no way to know all possible policy and law changes yet to eventuate, or all of the approaches a regulator or supervisor may take in enforcing compliance with the law.

Content outline

  • Compliance
    • Regulatory compliance
    • Compliance in practice
    • Benefits of compliance
    • Issues with compliance
  • Risk
  • Trust - context
  • Trusts - establishment
    • Reason(s) for a trust
    • Trust knowledge
    • Obtaining information
    • Checking information
    • Drafting
    • Trust instrument
    • Client understanding
    • More than one trust?
    • Transfer of assets
  • Trusts - administration and management
    • Proper administration
    • General administrative requirements
    • Trustee obligations
    • Trustee liablity
    • Taxation obligations
  • Trusts - miscellaneous
    • Copies of documents
    • Limitation clauses and indemnification 
    • Bank documents
    • Service providers
    • Agencies
    • Mentally incapable trustees
    • General note on alterations
    • Wind up (prior to distribution date)
    • "Without prejudice" communications
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