Financial Services Regulation
How we can help
It’s our business to keep up with the regulatory, social and commercial challenges of the financial services industry. With this knowledge, our experienced team gives clear and focused legal advice so our clients can move forward with assurance. We’re also great at getting to the bottom of complex issues, identifying problems and developing strategic plans to fix them.
Our clients rely on us through the full commercial landscape, from platform development, products, and transactional advice to regulatory engagement, risk, compliance programs and investigations.
We have a seat at the table with all major regulators including ASIC, APRA, ACCC, OAIC, ATO and AUSTRAC. This keeps us well informed, as well as playing a part in shaping the development of financial services regulation in consultations, significant investigations and enforcement proceedings.
Services
We’ll help you navigate complex financial services regulation, from platform development to compliance, risk management, and regulation, with technical, commercial and strategic support.
Financial services regulation
We advise on all aspects of financial services regulation, across conduct and prudential matters. This includes regulatory licensing, approvals and exemptions, core obligations, breach reporting and ensuring compliance.
Fintech, Crypto and Web3
We provide regulatory compliance, product development and market entry strategies guidance.
Payments
We advise on payment systems, ensuring compliance, optimising transactions and supporting new payment solution development.
Superannuation
Advice on regulations, ensuring compliance and member protection, optimising fund management and provide strategic support for superannuation products.
Insurance
Our advice covers licensing, policy wording, customer protection, claims handling, transaction regulation, DOI and disputes.
Consumer and retail
We cover product establishment, governance, consumer protection, credit, business lending, remediation, financial crime and breach reporting advice.
Risk and compliance
Our current state assessments and uplifts cover a broad range of our client’s operations, including risk management and compliance frameworks, information security, data risk management, complaints handling and remediation frameworks.
Institutional banking
We advise on licensing (AFSL), short-selling, market misconduct, financial crime, anti-bribery, restructuring products, regulatory compliance, foreign investments, debt investments and derivatives.
Governance, accountability and remuneration
We advise on board and executive governance and accountability, covering committees, effectiveness reviews, BEAR and FAR implementations, conduct investigations, as well as remuneration and consequence management.
Regulatory change
We prepare submissions, advise on new laws, and support change programs, including assessments, gap analysis, framework development, policies, procedures, communication, training, operating models, and governance.
Investigations
This includes advising on financial services regulation, AFSL obligations, licensing, exclusions, anti-bribery, anti-money laundering, counter-terrorism financing, competition and consumer law, taxation and commissions and inquiries.