Regulatory
REGULATORY ADVICE
*Advice on regulatory issues - including regulatory obligations, design and distribution
*Working out whether you need an AFS or credit licence, and support with applying for these
*Corporate advice - including structuring, governance, mergers and acquisitions, and capital raising
*Reviewing websites and preparing disclosure documents
*Drafting and negotiating contracts
*Access to our suite of compliance manuals, tools and templates - which provide fintechs with a cost-effective way to ensure they have...
INVESTIGATIONS AND ENFORCEMENT PROCEEDINGS
*Breach Notifications
*ASIC Production Notices
*Negotiating Licence Conditions and Enforceable Undertakings
*Defending ASIC proceedings
*Appointed as Compliance Consultant
*ASIC Experts Reports"
PRODUCT DEVELOPMENT & DISTRIBUTION.
We can support you with:
*Financial Services Guides, Statements of Advice and Product Disclosure Statement advice, drafting and reviews
*Financial product signoff
*Website checks
*Advertising signoff
*Training sessions on a range of topics, including Design and Distribution Obligations
*Distribution strategy
*Affinity agreements (ARs, distributors and referrers)
*Designing the sales process for the channel
*Website checks
*AR management procedures
*Reviewing existing distribution and identifying opportunities for improvement
*Providing online training for sales staff, business development managers and compliance teams
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