Funds & Financial Services

Navigating the changing face of the industry

It's not just the banks and insurers facing increased regulatory supervision and tougher enforcement but also brokers, fund managers, financial planners and credit providers are all feeling the impact of reforms.

Our Financial Services Regulation team helps AFS and Credit licensees and their authorised representatives to stay on the front foot in the evolving regulatory environment.

We provide compliance support and risk management services to some of Australia's largest financial services providers, institutions and broker networks. Clients ask us to develop and implement their compliance and risk management policies and procedures­­­­­­, including training their people—because we know there’s no margin for error.

We conduct compliance audits and regulatory due diligence. If there’s a breach, we’ll handle the reporting and ASIC notices as well as any ASIC hearings.

And when it comes to funds and investment, we act for ASX 100 financial institutions, intermediaries, listed and private companies and trusts, managed investment schemes, private equity funds, superannuation funds, asset managers and high net worth individuals.

We think and act globally. Our international clients include offshore and onshore fund managers and foreign financial institutions operating in Australia using digital platforms.

When our clients develop new financial products, we’re part of the team. We prepare information memoranda, product disclosure statements and advise on disclosure requirements. AML and KYC protocols are part of our expertise. We’re across distribution agreements and referral models, authorised agreements­­—even new non cash payment facilities, ETFs, digital currency and client relationship management.

If the new Mandatory Data Breach requirements are taking your time and attention away from other things, lean on us to prepare your privacy compliance manuals and develop reporting mechanisms. If you're due for your AML external audit, have to add a new designated service and need a manual or training update we have experts in this field.