Legal Services

We are specialists in the provision of the full range of advice, documentation and review in relation to the financial services industry.

Our legal services include the following:

1. Provision of advice and guidance regarding the interpretation and application of legislation and regulation regarding:

• Corporations Act/Regulations
• Superannuation legislation
• Privacy Act & FPC guidance and information material
• FTRA/Anti-Money Laundering & Counter-Terrorism Financing Act & AUSTRAC guidance material
• Trade Practices Act
• Uniform Consumer Credit Code
• ASX Operating Rules
• SFE Operating Rules
• ASIC Class Orders and guidance materials
• APRA Circulars and Operating Standards
• Occupational Health & Safety requirements

2. Provision and review of client agreements, ISDA documentation, tri-party agreements and trading agreements.

3. Provision and review of Constitutions, Trust Deeds, Board charters, Compliance Committee charters.

4. Provision and review of disclosure documentation including Financial Services Guides, Product Disclosure Statements, Prospectuses, Information Memoranda, Statements of Advice, Investment Programs (MDA).

5. Provision of advice and guidance regarding financial services and superannuation licensing, and authorisations.

6. Provision and review of ancillary agreements such as service level agreements, confidentiality agreements, brokerage side letters.

7. Provision and review of marketing materials and website disclosures.

8. Provision and review of risk management statements, risk management strategy and risk management plan documentation.

9. Provision of locums and short term contractors.

CLICK HERE TO RETURN TO OUR SERVICES PAGE

Privacy Policy

Disclaimer