Regulatory Compliance

We offer a unique combination of regulatory and compliance advisory and consulting services. As the finance and credit industry faces increasingly complex challenges associated with changing regulations, we assist in assessing and controlling risks and ensuring that regulatory compliance strategies are in place to mitigate compliance risks. We advise on varied and complex issues specific to the financial services and credit industry and provide a range of solutions to ensure ongoing compliance with regulatory regimes.

We have extensive industry experience advising on compliance issues and have experience in designing and implementing compliance frameworks, operationalising compliance processes and controls and assessing and mitigating organisational compliance risks.

Our Experience In Regulatory Compliance Includes:

• Evaluating current compliance operating model, reporting on findings and making recommendations
• Designing compliance frameworks, including implementing compliance management systems, processes and documentation that outlines relevant laws, industry codes, standards and best practices
• Advice on compliance with banking, financial services and credit regimes, regulations, licencing conditions, codes of practice, prudential standards, regulatory guides and ASX listing rules
• Preparing compliance calendars with reference to laws, tasks and dates to assist you with reporting and other obligations
• Drafting charters or terms of reference for risk, compliance and audit committees and assistance with compliance reporting
• Preparing advertising & marketing guides on legal regulatory compliance
• Advice on M&A transactions, due diligence and post-completion regulatory compliance
• Advising on directors duties and rights, indemnification and insurance
• Global company secretariat assistance (minutes, agendas, resolutions, event planning, notifications and regulatory filings)
• Dealing with ASIC, AUSTRAC, AFCA and other regulators and assisting with regulatory investigations
• Providing off the shelf compliance agreements and policy templates for in-house counsel