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

In a landmark and long awaited decision, the High Court of Australia unanimously dismissed the appeal in Carter Holt Harvey Woodproducts Australia Pty Ltd v The Commonwealth of Australia and Others ...

27 June 2019

ASIC chairman James Shipton has indicated that the regulator intends to have public hearings about responsible lending practices.

27 June 2019

From 1 July 2019, businesses with a sub-standard tax record will be excluded from certain Commonwealth government procurement processes.

26 June 2019

From 1 July 2019, businesses with a sub-standard tax record will be excluded from certain Commonwealth government procurement processes.

26 June 2019

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