Financial Services | Cowell Clarke Lawyers

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 dealer groups, superannuation trustees, ADIs, payment providers, FinTech companies, financial advisers, fund managers, corporate advisers, licensed accountants, agritech companies and syndicators. They rely on us to provide them with simple and innovative solutions to their regulatory obligations including structuring, disclosure, transactions, due diligence and dealing with regulators such as ASIC and APRA. We provide the range of regulatory advice on structuring, licensing and enforcement matters. We provide bespoke advice to clients and work as a natural extension to in-house risk, compliance and legal teams. We have developed an online platform which provides a comprehensive, risk management and compliance solution for our clients - we are just a click away.

We assist with every stage of the business lifecycle – from drafting and negotiating agreements to acting as regulator liaison in relation to interviews, examinations, investigations or audits by the regulator. We have successfully applied for many Australian financial services licences (AFSL), Australian credit licences (ACL), and other licenses, and we continue to assist our client achieve AFSL compliance, ACL compliance in their regulated businesses. We also have expertise in advising clients on and anti-money laundering and counter-terrorism financing (AML/CTF) compliance and how to manage their money laundering and counter-terrorism and sanctions risks.

Our team has hands-on financial services expertise from both the licensee, corporate transaction and regulator’s perspective. 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 compliance obligations and queries on an ongoing basis.

Our practical experience, insights and passion to see financial services businesses thrive set us apart.

We have found the Cowell Clarke portal a very useful resource for our limited AFSL needs, it has acted as a central point for information and retention of our key documents. We have also found the Cowell Clarke AFSL team to be most supportive in our endeavours and always available to assist with queries.

Tilbrook Rasheed

We engaged Cowell Clarke to help us with our AFSL and Credit Licence Compliance obligations. We immediately found the Compliance Portal of great assistance when it comes to policies, registers, reminders and document storage.

Stewart Partners

Cowell Clarke provides us with a fully outsourced AFSL Compliance function. Utilising their specifically developed AFSL Compliance Portal and experienced staff they have effectively removed all AFSL compliance administration from our business whilst simultaneously ensuring we are appropriately managing compliance risk.

Philip Riquier, Director, Accord Property

To know that we have all of our AFSL ‘collateral’ in one place, in the right place and that it is current, gives us great comfort in meeting our obligations under the Act and to the regulator. I would highly recommend Cowell Clarke's services to any AFSL holder.

Edwards Marshall Advisory Pty Ltd

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