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Mills Oakley Lawyers has extensive experience in providing legal services to the financial services industry and has advised a broad spectrum of dealer groups, financial planners, fund managers, stock brokers and other financial service providers, including banks and non bank lenders. The team also has experience advising clients in the areas of superannuation and life insurance.
The Financial Services team comprises experienced lawyers with the expertise, business sense and innovative problem-solving skills that clients expect. Our team has a strong understanding of the multiple legal and regulatory schemes that affect the day-to-day business activities of clients in the financial services, life insurance and superannuation industries.
The Financial Services team provides clients with a full range of legal services including providing specialist advice on:
- All aspects of the sale and acquisition of financial planning practices and business succession issues
- The preparation of employment agreements, consultancy agreements and service agreements for employees in the financial services sector
- The preparation of transfer agreements and dealer agreements
- The preparation of shareholder agreements, unitholder agreements and joint venture agreements for financial services businesses
- AFSL applications, licensing requirements and compliance
- The preparation of product disclosure documents, including SOAs, FSGs and PDS documents
- All aspects of anti-money laundering and counter terrorism financing regulations
- Compliance requirements of the Corporations Act, the Banking Act, the Privacy Act and the UCCC
- Life policies and indemnity insurance
- Investment and asset management
- Administration and custodial agreements
- Dealing with and advising on interventions and requisitions by Regulators
- AFS licence and RSE licence obligations
Accreditation and relevant qualifications
As well as being experts in financial services law, some of our lawyers in the Mills Oakley Lawyers Financial Services team also have international experience and are admitted to practice in England and Wales, and New Zealand.
Our team has lawyers who are members of the Financial Planning Association, the Financial Services Institute of Australasia, KAPLAN, and who have a graduate diploma in Applied Finance and Investment.
Key contacts
Martin Checketts
Partner
T: 61 3 9605 0999
F: 61 3 9605 0933
E:
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Lisa-Marie McKechnie
Partner
T: 61 2 8289 5857
F: 61 2 9247 1315
E:
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Services