Australia's regulatory framework covers a variety of financial services participants. We help businesses to navigate their obligations and manage risk while achieving their commercial goals.
The financial services regime in Australia is complex and will evolve significantly over the coming years as technology plays a bigger role in how financial services are delivered. Cowell Clarke makes the complex simple.
Our clients include ADIs, payment system participants, FinTech companies, financial planners, fund managers, corporate advisers and syndicators. They rely on us to provide them with simple and innovative solutions to their regulatory obligations including structuring, disclosure, transactions and dealing with regulators. We provide bespoke advice to clients and work as a natural extension to in-house risk, compliance and legal teams. We have also developed an online platform to provide a comprehensive licensing, risk management and compliance solution. We are just a click away.
Our team has real financial services expertise. We have successfully applied for many financial services and regulatory licences, and assist a broad range of wholesale and retail financial services businesses with their ongoing compliance obligations and queries on an ongoing basis. Our practical experience, insights and passion to see financial services businesses thrive set us apart.
Expertise
- advice on compliant structures and licensing requirements including preparation and review of financial services licence applications and variations
- compliance and risk frameworks, as well as ongoing risk and compliance training and support
- financial services regulatory advice for established and mature businesses, FinTech start-ups or new initiatives
- preparation and review of disclosure documents including product disclosure statements, financial services guides, statements of advice, annual disclosure statements and other disclosure documents
- superannuation advice, licensing and exemptions
- applications for relief, modifications or exemptions, including for unusual or innovative structures
A link to our compliance offerings are set out below.
Peter Slegers, Daniel Marateo and Josh Pascale of the Tax & Revenue and Superannuation Groups have recently released the 2nd edition of the SMSF Income Stream Guide. Click here for more information.