Financial Services and Compliance

We advise on the increasingly complex financial services regulatory regime, focusing on the funds management sector. We can assist with scheme documentation for registered and unregistered schemes, including constitutions, compliance plans, offer documents, and the registration and deregistration of schemes.

We assist with scheme and AFSL audits, AFSL applications and variations, ASIC relief applications, structuring and financial requirements, distribution models, complex financial products, AML/CTF obligations and regimes, privacy issues, authorised representative agreements, administration and custody arrangements.

We are rapidly developing our cryptocurrency practice and can assist with whitepapers, token holder agreements, ICO’s and crypto launches. We support our clients in response to regulatory investigations and enforcement proceedings, including breach notifications, ASIC compulsory production notices, section 19 ASIC hearings and enforceable undertakings.

The team advises on a full range of legal, compliance and risk management solutions for Financial Service companies relating to their extensive ASIC, AUSTRAC and APRA regulatory obligations.

OUR FINANCIAL SERVICES DIVISION CAN ASSIST ON THE FOLLOWING:

  • AFSL license applications & variation applications
  • Authorised Representative appointments, training and compliance oversight
  • ACL licencse applications & variation applications
  • New or varied financial products, including capital raising disclosure documents
  • Advising, responding & implementing regulatory changes impacting business operations
  • Regulatory investigation or sanction responses
  • Compliance and governance committee membership and reporting
  • Locum Responsible Manager and Committee role services
  • Governance, risk and compliance reviews, including independent AFSL and AML/CTF reviews
  • Organisational compliance and legal training (to board level)
  • Establishing and maintaining compliance and risk management systems, including policies, procedures, compliance plans and electronic Compliance Management Systems (CMS)
  • Cryptocurrencies and Digital Assets

 

For all enquiries in relation to Financial Services and Compliance, or for a free 15-minute consultation, please contact our expert team today via the form on this page.

MEMBER OF ACAMS

ASSOCIATION OF CERTIFIED ANTI-MONEY LAUNDERING SPECIALISTS

Madison Marcus is proud to be a member of the Association of Certified Anti-Money Laundering Specialists (ACAMS). Our membership underscores our commitment to maintaining the highest standards in anti-money laundering compliance and financial crime prevention. Being part of ACAMS allows us to stay at the forefront of industry developments, ensuring our clients benefit from the latest insights, best practices, and regulatory guidance in the fight against financial crime.

Our key people | Financial Services and Compliance

BECHARA SHAMIEH

Chief Executive Officer

Eric Boone

Partner

Andrew JaaJaa

Special Counsel

Annabelle Lam

Senior Associate

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For all enquiries, please contact us on the form below.

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