Financial Services
+ Regulatory

From Asset and Wealth Management, through to Trading, Research, Crypto and Fintech, financial services regulation is a key focus for AB. Not only do we have a deep understanding of the legal and regulatory requirements in this area, but we are also well versed in how they are implemented commercially - from operations, to systems, to advice.

We are also happy to provide assistance in a range of ways, be it documentation, advice, policies or training seminars. To get a better idea of how we might be able to help, just click the button to find out more.

The regulatory environment for financial services has never been so challenging - but it will provide an edge for firms that manage it well.

— Nik Albrecht, Principal

Popular Solutions

AFSL Applications -

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If your business is looking to provide financial services, you’ll either need to hold an Australian Financial Services License (AFSL) or take advantage of an exemption. AB has a wealth of experience in making the process as painless as possible.

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Financial Products and Platforms

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Building new financial products within the Australian regulatory framework is not unlike a game of Tetris - once you work out the features you need, you need to break them down into building blocks and work out the best way to fit them together. AB can help.

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Managed Investment Schemes (MIS)

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The most popular investment structure in Australia is the trust, categorised by ASIC as a MIS, with key differences for retail and wholesale. AB can support you with advice on the structure you need as well as the documents you need to establish it.

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Regulatory Advice -

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Financial Services is the most regulated industry in Australia with requirements dispersed across legislation, regulations, and regulatory guidance. The right advice can give your project direction, and save you time and money.

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Compliance and AML -

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For many financial services organisations, regulatory compliance has become a very significant risk area. AB has a dedicated compliance capability and a range of solutions that can manage your obligations efficiently and effectively.

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Outsourced In-house Counsel

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The AB team has a wealth of experience providing legal and compliance support from within financial services organisations, and our packages are perfect for any firm that needs legal support, but is not ready to commit to an in-house counsel.

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