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

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02 April 2020

The COVID-19 outbreak in the United States has wreaked havoc on the U.S. economy. In response, the U.S. government has taken extensive measures to stabilize and stimulate the economy.

01 April 2020

On 29 March 2020, the Australian Treasurer announced temporary changes to foreign investment in Australia, reducing the monetary threshold which applies to foreign investment in Australia to $0.

01 April 2020

The Foreign Investment Law of the People’s Republic of China (the “Foreign Investment Law”) that issued last year came into effect on January 1, 2020 together with the supporting Regulations for the...

31 March 2020

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