Our clients include
- authorised deposit-taking institutions such as credit unions, building societies and domestic and foreign banks,
- public superannuation funds
- funds managers
- financial planners
- private health insurers
- general insurers
- finance companies
- equipment lessors and consumer rental businesses
- industry associations
- member-based organisations
- other corporates who provide services to the financial services sector.
We provide compliance outsourcing services and regulatory compliance support to in-house counsel, company secretaries, senior managers, risk officers and compliance managers.
We offer fixed fee quotes for projects or a monthly retainer fee for compliance support.
We help businesses with:
- advice on contracts and business transactions
- contract drafting
- corporate and business mergers and acquisitions and restructuring (including due diligence and stamp duty issues)
- advising boards on corporate governance issues – director duties and responsibilities, conflicts of interest and risk management
- drafting and updating Constitutions
- obtaining licences, including Australian Credit Licences and an Australian Financial Services Licences (AFSL)
- varying licence conditions
- regulator liaison and communication
- disclosure documents
- distribution and referral agreements
- marketing sign-offs
- assistance with resolving disputes
- specialist project work for mergers, capital raising, governance and compliance needs
- training programs.
- compliance reviews and independent expert reports (including FSR, consumer credit, privacy, AML/CTF and competition and consumer law).
- advice on software and technology licensing
We also provide a range of fixed price products.
You can buy our Responsible Managers’ Manual or policies and checklists or watch our videos here.