Our expertise

Financial services and regulation

We help clients navigate the complexity of Australia’s ever-changing regulatory framework, with our specialist expertise in corporate governance and regulatory compliance, disputes and regulator investigations

Our pragmatic, commercial advice assists our financial services clients to succeed in a highly complex and heavily regulated environment. Our team provides legal support and assistance with a wide range of financial services and regulatory matters including:

  • All aspects of corporate governance and compliance in relation to the Corporations Act, ASX Listing Rules, and ASX Corporate Governance Principles
  • ASIC banning orders against directors, financial advisers, and credit providers
  • Australian Financial Services Licence obligations and requirements
  • Complaints to the Australian Financial Complaints Authority
  • Drafting authorised representative agreements, sale of business agreements and adviser transfer deeds
  • Representation in commercial and regulatory proceedings in the Supreme Courts of various states, the Federal Court of Australia and the High Court of Australia, the Administrative Appeals Tribunal and the Takeovers Panel
  • Representation in investigations and examinations conducted by ASIC, ORIC, the ACCC, the Australian Federal Police and other state and federal regulators


For Financial Services and Regulation matters please contact Principal, Thaw Thaw Htin.

For Corporate matters, please contact Corporate Counsel, David Sanders.