Regulatory, Policy, Governance and Compliance

The Financial Services regulatory framework is constituted by a broadly applicable licensing and disclosure regime which governs financial services providers, intermediaries and other participants, financial services and products.  It also provides regulatory schemes for financial markets and payment facilities. Financial Services Law is a complex and technical field and the subject of continual legislative and regulatory reform requiring an ongoing understanding of the underlying legislation and, regulatory policy and its application by regulators.

Our financial services team provides advice and guidance on regulatory and policy reform and assists in navigating regulatory change and its impact on the financial services business life-cycle from licensing, disclosure, product development, distribution and marketing.

We advise the Boards and management of financial services businesses on the implementation of governance structures, processes and procedures to achieve regulatory compliance.

Key services

  • Competition Law advice
  • Consumer Financial Services advice
  • Advising on Capital Markets and ASX issues – equities, shares and derivatives