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 crypto-currency 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)