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
regime, privacy issues, and 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.

Partner and team leader of the division, Perry Hume,
draws from 30 years of experience in financial and
corporate regulation from senior roles as in-house
counsel in global financial service companies and private
practice. Nominated as Lawyer’s Weekly Financial
Services Partner, his 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)