Legal

Financial services companies are heavily regulated and subject to over 50 different laws which impact every aspect of their business.

In addition to larger projects and transactions, we ensure your day-to-day matters meet your commercial objectives and do not breach your regulatory obligations.

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Legal

Our legal stack has been designed in consultation with leading risk, product, marketing and operations teams to provide an outstanding end-to-end legal solution

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Licensing

  • Advice on AFSL, ACL licenses and authorisations required
  • AFSL and ACL applications and variations
  • ASIC relief and no-action applications
  • Due diligence on the purchase / sale of an AFSL
  • AFSL/ACL reviews
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Regulatory Documents

  • Preparing PDS, FSG and IM documents
  • Preparing T&Cs
  • Preparing Fund Documents
  • Preparing Authorised Representative and Distribution Agreements.
  • Preparing Intermediary and Investment Management Agreements.
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Product

  • Review of product features and terms
  • Analysis of product design and distribution obligations
  • Advice on distribution structure and getting to market
  • Due diligence on the purchase / sale of an AFSL
  • Review of product terms and performance against disclosure documents
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Commercial

  • Reviewing and negotiating contracts
  • Legal support to risk, compliance, sales and operations teams
  • Advice on corporate governance and shareholder matters
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Investigations

  • Responding to regulator audits or concerns (ASIC, TPB, AUSTRAC)
  • Responding to disputes and complaints
  • Undertaking internal investigations and reviews

News

Trends and insights from our team

AFSL Applications: A Comprehensive Guide

The AFSL Application Process: A Comprehensive Guide The process of obtaining an Australian Financial Services Licence ...

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New AFSL Breach Reporting Regime. It’s Coming.

AFSL holders will be subject to the new breach reporting regime from 1 October 2021. The ...

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AFSL Compliance

Being a ‘compliant business’ is what every AFSL holder wants. However it’s not that easy and ...

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Contact Us

We’re always talking to businesses about how we can help them get better and stay ahead of the pack.

Email, ask a question or book a time to talk with a member of our team and we’ll get back to you as soon as possible.

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info@tecne.com.au
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