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 New Rules giving effect to the extension of the JobKeeper program were registered today. This is to give effect to the Federal Government’s announcement of the extension on 21 July 2020.

15 September 2020

On 10 September 2020 the ACT Government announced the extension of the Leases (Commercial and Retail) COVID-19 Declaration 2020 to assist commercial tenants affected by the pandemic and experiencing...

15 September 2020

Waratah Coal has made an application in the Queensland Land Court to strike out a number of objections to its Galilee Coal Project.

15 September 2020

On Sunday the Federal Government announced that it will extend until the end of the year insolvency relief measures which were put in place from March 2020.

08 September 2020

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