Financial Intermediaries

Financial Intermediaries

Providing integrated legal services for financial intermediaries

Across the globe, financial intermediaries seek out our structuring capability to assist them with theirs and rely on our knowledge of the relevant compliance, enforcement and broker-dealer framework. We go beyond the technical and transactional advice, bringing together experts from different disciplines and regions to put the law or “lore” in the context of the full spectrum of their business objectives.

Our experience spans decades, advising on the regulatory and legal framework for financial intermediaries. We regularly advise on the development of new products, regulatory requirements, compliance, tax, codes of practice and protocols, regulatory investigations, securities litigation and alternative risk structures.

If you are a financial intermediary, our lawyers can advise you on:

  • Authorisation and licensing
  • Codes of practice
  • Regulatory investigations
  • Class actions
  • Securities litigation
  • Regulatory change and compliance
  • Structuring techniques
  • Tax
  • Marketing materials
  • Securities distribution arrangements (including client engagement)
  • Derivatives contracts and regulation
  • Independent reviews to reduce conduct and legal risk.
"The knowledge of the subject matter is excellent, and their interpretation of the rules is first-class."

- Chambers

We have a full team specialising in this area.

Discover our latest insights into legal issues affecting your business

The Supreme Court of Tasmania recently handed down a decision on privity of contracts in Clarence City Council v Commonwealth of Australia [2019] FCA 1568.

18 October 2019

The 4th edition of the ASX Corporate Governance Council’s Corporate Governance Principles and Recommendations (“4th Edition CGPs”) were released in February this year and will take effect for an ASX...

14 October 2019

Discovery of such omissions can lead to very stressful situations for the people involved. Thankfully, a little-known section of the Corporations Act can assist in times like these.

14 October 2019

ASIC’s Corporate Governance Taskforce, set up in the aftermath of the Financial Services Royal Commission with additional Federal Government funding, has released its first reports.

14 October 2019

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