Services

Financial Services

Who we are

The Financial Services team is unique in that we provide the full service of advisory, transactional and dispute resolution services to its clients, including regulatory disputes.

Our clients operate in superannuation, funds management, insurance, financial planning, derivatives, securities, debentures, custodial, non-cash payment facilities and other financial or credit services areas.

We are known for applying our deep knowledge of the regulatory environment to help clients achieve sound, commercial solutions.

What we do

We assist clients to execute their business plans, deal with disruptive events and navigate the changing commercial and regulatory landscape of the financial services industry.

We have a uniquely strong industry focus, providing advisory, transactional, governance and dispute resolution services to our clients.

We advise clients operating in a wide range of areas including:

  • Advisory: helping clients to execute business plans within a highly regulated environment. We also help clients obtain and keep Australian financial services licences and Australian credit licenses
  • Transactional: providing efficient, thorough and innovative guidance on the structure and execution of complex transactions
  • Dispute Resolution: practical advice and commercially focused solutions in complex financial services disputes in superior courts and AFCA
  • Regulatory Affairs: assisting clients to navigate and comply with the complex and evolving regulatory environment, managing regulatory affairs and dealing with regulatory surveillances, investigations and proceedings in particular with ASIC and APRA.

Recent projects

  • Advising on development of an innovative pension product.
  • Applications for Australian financial services licence.
  • Delivering training on financial advice obligations.
  • Defending licensees against ASIC in investigations and civil penalty prosecution.

Thinking

Financial Services
RegTracker 16 Nov 2020 – Spotlight on Hayne...
Financial Services
McVeigh v Rest – a new standard for...
Financial Services
RegTracker - Super - 2 November 2020
Financial Services
RegTracker - Super - 19 October 2020
Financial Services
RegTracker – Super – 5 October 2020
Financial Services
RegTracker-Super-21 September 2020
Financial Services
RegTracker - Super - 7 September 2020
Financial Services
RegTracker – Super – 21 August 2020
Financial Services
RegTracker - Super - 7 August 2020
Financial Services
RegTracker - Super - 27 July 2020
Financial Services
RegTracker - Super - 13 July 2020
Financial Services
RegTracker - Super - 26 June 2020
Financial Services
RegTracker - Super - 12 June 2020
Financial Services
RegTracker - Super - 29 May 2020
Financial Services
RegTracker - Super - 15 May 2020
MO
COVID-19
RegTracker - Super - 1 May 2020
MO
COVID-19
ASIC Relief on COVID-19 advice –...
MO
COVID-19
COVID-19 Early access to super
Financial Services
Personal advice and ethics – crossing the...
Financial Services
AFCA is here and it will cast a wider net
Financial Services
A timely reminder for super fund members
Financial Services
AFCA on the way – disclosure relief and...
Financial Services
AFCA on the way – 10 weeks to go
Financial Services
Court Approval: Don’t take it for granted
MO
Financial Services
The Budget 2016-17: How it affects Financial...
Financial Services
Back to the drawing board for Willmott class...
Financial Services
Senate Inquiry Report into Forestry Managed...
Financial Services
The devil is in the detail
Financial Services
Corporations Amendment (Crowd-Sourced...
Financial Services
ASIC Releases Licensing and Registration...
Financial Services
Accountant banned for 6 years for engaging in...
Financial Services
ASIC Seeks Improved Compliance by Super...
Financial Services
Earlier super access for terminally ill
Financial Services
Accountants – don’t be shut out of super

Services

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