SERVICES

LEGAL ADVICE & REPRESENTATION

  1. We can provide ongoing or one-off advice and guidance regarding the interpretation and application of all legislation, regulations and regulatory guidance material;

  2. We can draft licensing/registration applications, and liaise with the regulatory body to facilitate efficient and effective outcomes, including AFSL and ACL applications (ASIC), RSE applications (APRA), Higher education provider applications (TEQSA), AML/CTF registrations (AUSTRAC) etc;

  3. We can provide advice and assistance in relation to the availability and/or facilitation of licence relief and exemption applications;

  4. We can draft and/or review all legal and commercial agreements, including service contracts, trading agreements, shareholding agreements, partnership/JV agreements, broking and referral agreements, confidentiality/NDA agreements etc;

  5. We can draft and/or review all types of constituent and disclosure documents, including Product Disclosure Statements, Prospectuses, Information Memoranda, Financial Services Guides, Statements of Advice, constitutions, trust deeds, MIS compliance plans, compliance committee charters, board charters, MDA Investment Programs, Privacy policies, website disclosures, website terms of use etc;

  6. We can draft and/or review compliance policies and procedures, including AML/CTF Part A Policy/Part B Procedure documents, AFSL and ACL compliance manuals, employee human resource manuals, Privacy manuals, TEQSA/CRICOS compliance manuals etc;

  7. We can draft and/or review employment and service contracts, advise on the applicable legal obligations for employers (eg OH&S, Fair Work), and handle employee issues;

  8. We can advise on and/or manage investigations and enquiries undertaken by regulatory bodies on your behalf, and manage customer complaints on your behalf;

  9. We can act on your behalf in appeals to the Administrative Appeals Tribunal;

  10. We can review/advise regarding your marketing materials and website disclosures, to ensure legal/regulatory compliance; and

  11.  We can provide you with ongoing legal and regulatory updates tailored to your particular industry, regulatory framework and specific business;

CONTACT US

Level 4, 16 O’Connell Street Sydney NSW 2000

Tel: 0414 406 412

Email: gina@block.com.au

GPO Box 3635 Sydney NSW 2001

 

​​​​© 2020 by Daniel Wasilewky