Financial Services | Cowell Clarke Lawyers

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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.