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.
- 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.