Financial Services and Compliance

The Financial Services & Compliance team boasts more than three decades of collective experience in financial and corporate regulation, stemming from roles as in-house counsel within prominent financial service firms and successful tenures in private practice. This team specialises in delivering comprehensive solutions for legal, compliance, and risk management needs, navigating the extensive regulatory requirements imposed by ASIC, AUSTRAC, APRA, and the OAIC.

Our expertise extends to a broad spectrum of regulatory intricacies in financial services. We facilitate the establishment and management of funds, including license applications and variations, navigating compliance and regulatory audits, and handle ASIC relief applications expertly. Furthermore, we are experienced in drafting tailored disclosure documents and agreements and offering commercially focused advice on company structures and financial requirements. Our expertise also encompasses the development of distribution models, compliance with complex financial product regulations, and adherence to all your compliance obligations, including AML/CTF, privacy, data protection, and cybersecurity.

In addition to these services, we provide adept support for scheme documentation, including constitutions and compliance plans, and offer documents. Moreover, we are steadfast partners when clients encounter regulatory investigations and enforcement proceedings. Our assistance includes breach notifications, handling ASIC compulsory production notices, representing clients in ASIC hearings, and navigating enforceable undertakings. Our extensive experience empowers our clients to navigate the intricate regulatory terrain seamlessly.

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