Financial Services Regulation
Our services
- regulation and compliance—advice on all aspects of the impact of the Financial Services Reform Act (FSRA), including the requirements for licensing, financial services and products disclosure and the regulation of sales and marketing activities
- advising on compliance systems and strategies; ASIC inquiries, surveillance activities, and investigations, including potential criminal, civil and administrative actions arising out of breaches of the FSRA or license conditions
- all aspects of relevant legislation, including the Corporations Act, new privacy legislation and ASIC Policy Statements
- ASX Listing and Business Rules and SFE Rules and reporting of public companies generally
- the impact of stamp duty and taxation laws
- ongoing advice on the management of schemes and the acquisition of units
- preparation and review of documentation for investment products
- structuring of new products and acquisition of assets.
- advice on structuring new products, tax and stamp duty advice, drafting scheme documentation
- designing due diligence processes for the preparation of prospectuses
- drafting prospectuses and other documentation including material contract summaries and reviewing the prospectus generally from a legal perspective
- undertaking legal due diligence and verification of legal aspects of the prospectus, including attendance at due diligence meetings.