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Insights, blogs and articles written by financial services lawyers

Compliance Consultants

Let us be your compliance pit crew with timely, practical compliance resources and access to legal advice, so that you can spend more time supporting your clients.

Compliance consultants are an essential part of the financial services eco-system, providing much needed support and services so that licensees can focus on what they do best, whether that be giving advice, investing or developing products.

We support a wide range of different sectors within financial services, including financial advice firms, crypto businesses, super funds, banks and licensees servicing only wholesale clients – and we work with consultants across all these industry sectors.

Our scale and expertise mean we have built a wide range of resources to complement your offering, whether you’re a sole operator, or a large team operating across the country.

Resources include over:

350 Document Templates
150 Training Webinars
100 FAQs

Support for you

  • Take out a HN Hub subscription so you have all the information and training to be able to service your clients
  • Benchmarking data via our Compliance Trends Survey – to use with your clients
  • Presentations at CPD days – We regularly present at PD days on regulatory updates, and RM responsibilities
Play Compliance Consultants

Compliance support for your clients

  • Referrals to our standard offerings at discounted rates – Depending on your size, we offer generous discounts to HN Hub Subscriptions
  • Build our resources into your offering – With this option, we remain in the background. You cherry pick what you need, freeing up time to spend with clients.
Compliance Consultants

Legal support for your clients

From simple commercial legal matters to complex financial services situations, we can provide that additional support for your clients when they need it.  Services include:

  • Licensing and Regulatory Advice
  • Regulatory disputes and investigations
  • Buying and selling businesses or client books
  • Drafting agreements (employment agreements, JVs, shareholder agreements, CARs and more)
  • Commercial disputes
  • AML/CTF programs and independent reviews
  • Licensee reviews
Compliance Consultants