HOW WE CAN HELP
We have a deep knowledge of the regulatory, social and commercial challenges facing participants in this industry, as well as the numerous opportunities available to financial services clients. We provide full-service financial services offering to support clients through the full commercial landscape, from platform, products and transactional advice through to engagement with regulators, risk and compliance programs and investigations, and we have strong relationships and significant experience in engaging with regulators.
FINANCIAL SERVICES ADVISORY
Our clients include traditional financial institutions looking to provide services that are quicker, cheaper, and more responsive to consumer needs and regulatory requirements; and organisations looking to innovate and disrupt how financial services are delivered, accessed, and consumed. We have advised some of the most successful and ground-breaking financial services and fintech businesses operating in Australia.
Our experience is varied across the lifespan of businesses - from workshopping very early-stage concepts to build scalable and marketable solutions, to advising founder-held businesses through the process of obtaining VC or PE money, to working with functioning businesses looking to pivot into new product enhancements and service offerings.
We also advise in relation to transactions and IPOs in the financial services and funds sectors and have extensive experience in supporting these transactions.
DISPUTES AND INVESTIGATIONS
We have an array of regulatory experts who are keenly aware of the regulatory landscape and who have been instrumental in advising on and shaping the future landscape of the provision of financial services. Our financial services regulatory team are recognised for our unparalleled work in disputes and investigations, including regulator investigations and enforcement actions. We are consistently engaged on the most business-critical matters to provide key strategic advice.
We bring a fresh, broad and strategic approach to regulator and government relations in close collaboration with our clients. We work closely with internal legal, risk and compliance teams, and business stakeholders to address investigations to ensure a holistic and outcomes-oriented response.
In relation to the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry.
In relation to an ASIC investigation and proceedings regarding claims handling.
Federal Court of Australia proceedings brought by the ACCC, defending allegations of misleading and deceptive conduct and unconscionable conduct.
Investigations by ASIC and the ACCC, and their corresponding agencies in New Zealand, into allegations in relation to the global foreign exchange market.
In connection with a financial services investigation by several international and domestic supervisory regulators about conduct concerning interest rate benchmarks.
Investigations by AUSTRAC into alleged non-compliance with anti-money laundering/terrorism financing laws.
In regulatory investigations and private actions in relation to allegations of negligent or inappropriate financial advice.
Investigations into suspected mortgage fraud and compliance with responsible lending laws.
In legal claims relating to highly complex structured financial products.
