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4
Asia-Pacific 2022
Australia Financial Services Regulation
4
Band 4

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.

Chambers Review

Provided by Chambers
Financial Services Regulation - Australia
4
Band 4
What the team is known for

Hall & Wilcox is recognised for its well established team, advising a clientele that consists of asset managers, superannuation funds and other financial institutions. Notable clients include Focus Financial Partners, Asian Pacific Capital and MTAA Super. Frequently called upon to assist on a variety of financial services regulation matters, including establishment of operations, licensing issues and compliance with regulatory regimes. Active in emerging areas, such as fintech.

Strengths

A client praises the strength of the team's service, commenting: "The firm is highly responsive and alert to client needs, they pre-empt the client's needs and provide confidence in the work performed."

Another client adds: "They have exceptional engagement with the client and are very pragmatic."

Work highlights

Hall & Wilcox acted for Catholic Super in relation to an APRA investigation following a referral arising out of the Financial Services Royal Commission.

Notable practitioners

Harry New is a key contact for clients.

Members

Provided by Hall & Wilcox

Adrian Verdnik

Anne MacNamara

Eugene Chen

Jacob Uljans

John Bassilios

Mark Petrucco

Vince Battaglia

Industries

Provided by Hall & Wilcox

Financial services