Financial Services Regulatory Lawyers & Consultants
We are Financial Services Regulatory Lawyers & Consultants with expertise in Australian Financial Services Licensing, Australian Credit Licensing, ASIC investigations, commercial disputes, AML/CTF, dealing with regulators and more.
We’ve been in the Financial Services industry since the law reform began back in 2004, so we’re confident in saying, we know what we’re doing. We are experts in Financial Services Law and Regulation. We aim to keep clients out of court and out of the hands of the regulatory.
The industries our services cater to include:
- Product Providers
- Advice Providers
- Accountants
- Credit Providers
- CFD Providers (including OTC derivatives)
- Crypto Assets
- Payments Businesses (Money Remitters)
- Fintechs
- Associations and Support Businesses
- Corporates (non-financial services)
We’ve had a number of clients come to us with licence condition breaches, contract breaches, and so on. As a result, we’ve developed on online platform (The HN Hub) to support Compliance staff, Directors and Responsible Managers with their licensee’s ongoing compliance requirements.
Our most popular services include:
- Legal advice on operating in Australia
- Responsible Manager Training for Responsible Managers, Compliance staff and Directors
- Financial Crime including AML/CTF
- Drafting, reviewing and preparing an AML/CTF Program
- Commercial work for medium to large sized corporations including employment agreements, authorised representative agreements
- Financial services advice relating to a Australian Financial Services Licence
- Applying for an Australian Financial Services Licence
- Applying for an Australian Credit Licence
- Credit Law Advice
- Applying for an APRA Licence
- Assisting with Limited Licences and Accountants
- Retail v Wholesale queries
- Privacy and cyber security matters
- AFSL & ACL Compliance & Support
- Responsible Manager support
- Responding to ASIC requisitions, breach notices
Compliance & Regulatory support:
We hold monthly topical webinars for financial services professionals and hold quarterly and biannual industry compliance forums for the payments businesses, OTC derivatives, consumer credit, accountants and financial advisory sector. Our lawyers also write a regulatory newsletter (Tailored Regulatory Exchange, aka, T-REX) each month, pinpointing the recent regulatory changes in the financial services, credit and AML/CTF industries. Sign up to gain exclusive access to our forums and T-REX newsletter or contact us for more information.