Financial Services Regulation

About

Provided by Hall & Wilcox

The Hall & Wilcox Financial Services team understands the challenges and issues clients face in the financial services sector. Our team can advise on all aspects of financial services law affecting participants in the sector.

Our team can advise on all aspects of AFSL, ACL, ADI and RSE regulation and licensing including interpretation of and advice in relation to legislative and regulatory requirements, compliance advice and programs, due diligence, preparation and review of disclosure and marketing material.

We are active industry participants and remain at the forefront of developments in the financial services sector through partnerships with the Financial Services Council, Australian Investment Council, the Property Funds Association, Blockchain Australia and Stone & Chalk.

Our team has strong relationships to key personnel at regulators such as the Australian Prudential Regulation Authority and the Australian Securities and Investments Commission.

Hall & Wilcox was named Best Provider to the Financial & Insurance Services Industry in the Client Choice Awards 2020, independently researched by Beaton (a leading Australian professional advisory body), and were a finalist for the same in 2021.