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Mills Oakley Lawyers has extensive experience in providing legal services to the financial services industry and have 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 Financial Services team comprises experienced lawyers with expertise, business sense and innovative problem-solving skills that clients expect. The team also brings to its clients a high level of knowledge and judgment and the ability to respond quickly and flexibly to client needs and concerns. Our team has a strong understanding of the multiple legal and regulatory schemes that affect the day-to-day business activities of clients.
The Financial Services team provides clients with a full range of financial services including providing specialist advice on: - All aspects of the sales and acquisitions 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
- Other compliance requirements of APRA, the Banking Act, the Privacy Act, the UCCC and other similar legislation
Anti-Money Laundering
Click here to visit our Anti-Money Laundering page.
[back to top] 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.
The team also has lawyers who are members of the Financial Planning Association, the Financial Services Institute of Australasia, KAPLAN, and 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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