Financial Services

If you’re starting or already operating a financial services business and you’re looking for a financial services lawyer…

We are your solution to assist you to:

  • navigate and carry on business in compliance with the Australian legal and regulatory framework
  • understand the opportunities and constraints of that regulatory environment
  • understand whether you need an AFSL or can operate within licence exemptions 
  • appoint responsible managers and authorised representatives
  • develop compliance and risk management systems
  • bring new services and products to market
  • prepare contracts
  • comply with disclosure obligations
  • implement regulatory changes
  • manage your ongoing obligations, challenges and commercial arrangements.

We can help you to establish, operate and grow your business in compliance with the Australian legal and regulatory framework.

Our clients include a variety of financial services providers – small and large, start-ups and established – and their legal advisers.

We have worked with:

  • wealth management and advisory / financial planning firms
  • stockbrokers and introducing brokers
  • fin-tech providers
  • foreign exchange providers
  • derivatives issuers
  • marketplace lenders
  • managed discretionary account (MDA) providers
  • digital (robo) advisers
  • margin lenders
  • other product issuers

If you’re an in-house legal team looking for help with a particular project or to cover short-term resourcing needs, rest assured we have over 16 years’ experience working in-house as legal counsel and compliance specialists, including for Australia’s largest financial institutions, financial adviser groups and broking firms.

Specialising in financial services law for over 16 years and time spent working in-house has given us an excellent operational understanding of this industry, the laws governing it and the issues faced.  It has honed our abilities to put ourselves in our clients’ shoes and provide commercially pragmatic legal advice.

Contact us for more information or to arrange a consultation with a financial services lawyer.