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
Scams, Braz and the Financial Accountability...
Financial Services
Are you ready for the unfair contract terms...
Financial Services
Reforms to the foreign financial services...
Financial Services
RegTracker 22 May 2023
Financial Services
RegTracker 24 April 2023
Financial Services
Legislating the objective of superannuation ...
Financial Services
Access to offenders’ superannuation for...
Financial Services
RegTracker 19 December 2022
Financial Services
Increased regulatory risks from Privacy Act...
Financial Services
RegTracker 22 November 2022
Financial Services
APRA consults on strengthening SFT...
Financial Services
ASIC rolls out the stop orders on Target...
Financial Services
RegTracker 18 October 2022
Financial Services
RegTracker 16 September 2022
Financial Services
RegTracker 23 August 2022
Financial Services
RegTracker 25 July 2022
Financial Services
RegTracker 11 April 2022
Financial Services
RegTracker 4 April 2022
Financial Services
RegTracker 28 March 2022
Financial Services
RegTracker 21 March 2022
Financial Services
RegTracker 28 February 2022
Financial Services
RegTracker 21 February 2022
Financial Services
RegTracker 14 February 2022
Financial Services
RegTracker 20 December 2021
Financial Services
RegTracker 29 November 2021
Financial Services
RegTracker 22 November 2021
Financial Services
RegTracker 15 November 2021
Financial Services
RegTracker 8 November 2021
Financial Services
RegTracker 1 November 2021
Financial Services
RegTracker 25 October 2021
Financial Services
RegTracker 18 October 2021
Financial Services
RegTracker 11 October 2021
Financial Services
Mills Oakley builds Financial Services...
Financial Services
RegTracker 4 October 2021
Financial Services
RegTracker 27 September 2021
Financial Services
RegTracker 20 September 2021
Financial Services
RegTracker 13 September 2021
Financial Services
RegTracker 30 August 2021
Financial Services
RegTracker 23 August 2021
Financial Services
RegTracker 16 August 2021
Financial Services
The New Breach Reporting Regime for the...
Financial Services
RegTracker 26 March 2021 – ASIC’s...
Financial Services
RegTracker 3 March 2021 – Spotlight on the...
Financial Services
RegTracker – 14 December 2020 –...
Financial Services
Design and Distribution Obligations
Financial Services
RegTracker – 30 Nov 2020 –...
Financial Services
RegTracker 16 Nov 2020 – Spotlight on Hayne...
Financial Services
McVeigh v Rest – a new standard for...
Financial Services
RegTracker – Super – 2 November...
Financial Services
RegTracker – Super – 19 October...
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RegTracker – Super – 5 October 2020 ...
Financial Services
RegTracker-Super-21 September 2020
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RegTracker – Super – 7 September...
Financial Services
RegTracker – Super – 21 August 2020 ...
Financial Services
RegTracker – Super – 7 August...
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RegTracker – Super – 27 July...
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RegTracker – Super – 13 July...
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RegTracker – Super – 26 June...
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RegTracker – Super – 12 June...
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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

Projects & Construction