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Superannuation Series - Part 7: An update from the regulator on practical issues within SMSF & Audit and record keeping

Wednesday, 27 May 2020 - 1:00 PM to
Wednesday, 27 May 2020 - 2:30 PM

Registration Time:

Member Price: $100.00

Non Member Price: $120.00

CPD hours:1.50

Part 7: An update from the regulator on practical issues within SMSF & Audit and record keeping

Session One

One year since the conclusion of the Royal Commission, the ATO have undertaken a number of actions to improve their regulatory effectiveness and the building of trust and confidence in their actions as regulator.

Dana will outline the ATO’s current program of work and key risk focus areas and discuss how the Royal Commission has informed the ATO’s approach as the SMSF regulator over the past 12 months and into the future. She will provide an update of the number of proactive communication strategies and projects currently in the pipeline to better inform and assist SMSF trustees.

Session Two

The outcome of the Baumgartner and McGoldrick cases have changed the course of SMSF audit. In the second part of this presentation, Shelley will examine these new focus areas and the fundamental shift in the questions SMSF auditors are asking. Some of the topics discussed include:

  • The ‘new’ Part A qualification regime and what that means for your SMSF clients
  • Compliance impact on SMSF audit since 1 July 2017 super changes
  • How to use documentation as a risk management tool


Dana Fleming, CTA, Australian Taxation Office

Dana Fleming, CTA, is the Assistant Commissioner responsible for the self-managed superannuation fund segment. Dana has over 25 years’ tax experience, both in Australia and overseas, specialising in superannuation and managed funds. Prior to joining the ATO, Dana was a partner at KPMG where she led KPMG’s Asset and Wealth Management tax practice in Australia for four years. Her client portfolio included major industry and retail funds to boutique managed funds.

Shelley Banton, ASF Audits

Shelley Banton is the Head of Technical at ASF Audits. She is an SMSF audit specialist with extensive experience in superannuation, audit, finance and IT. Shelley was previously a director at Super Auditors from January 2007 until the merger with ASF Audits in July 2017. She has successfully implemented IT projects for SMEs and has worked for large private sector corporations, such as Citibank and Perpetual Funds Management. Shelley works with a team of SMSF professionals and provides technical and strategic advice to clients on SMSF compliance.

Special Offer

Register for the entire 10-part 2020 National Superannuation Webinar Series and save $205.