Financial Services Regulation - Australia
What the Team is Known For
Johnson Winter Slattery has forged a respected practice in financial services regulation, servicing government bodies, asset managers and real estate investment platforms on advisory and contentious matters. The firm regularly handles ASIC and regulatory enforcement matters as well as licencing applications and disclosure obligations.
Strengths
"Johnson Winter Slattery has a proven track record working for regulators on complex high-profile matters and provides strategic advice in the conduct of litigation."
"On regulatory matters, JWS is very involved in the working groups organised by regulators and industry groups, allowing them to give advice beyond black letter law."
Work Highlights
Johnson Winter Slattery advised ASIC on its successful Federal Court proceeding against ANZ concerning the bank's failure to disclose to the market that it had failed to place between AUD754 million and AUD790 million shares in its AUD2.5 billion institutional share placement.
Notable Practitioners
Austin Bell is noted for acting for inbound companies on their establishment in Australia, including advice on licensing, exemption applications and compliance obligations. "Austin Bell has been a great partner in keeping us apprised of Australian regulatory exemptions and requirements."
