Financial Services Lawyer

Navigating Australia’s financial services sector requires more than basic compliance — it demands strategic, commercially focused legal guidance.

Financial services advice crosses a variety of practice areas and we have skilled practitioners with niche skill sets to provide salient advice.

Our team of financial services lawyers works closely with businesses, trustees, insured individuals, insurers and institutions we provide tailored legal solutions that balance regulatory requirements with your commercial goals and ambitions.

Whether you are applying for an Australian financial services licence or AFSL, launching a joint venture structuring a managed investment scheme, or defending against ASIC enforcement, we provide the clarity and confidence needed to succeed in a highly regulated market.

Key Areas of Financial Law Services:

Financial Services

• ASIC & Regulatory
• Licensing
• Anti-money Laundering (AML)
• Australian Financial Services Licensing
• Banking & Finance
• Financial Planning
• Insurance
• Insurance Claims & Disputes
• Aust. Financial Complaints Authority AFCA
• Managed Funds
• Privacy
• Superannuation
• Death, TPD & Income Protection Claims
• Aust. Financial Complaints Authority AFCA

Regulatory compliance underpins every financial service. Our lawyers help clients navigate obligations under the Corporations Act 2001 (Cth), ASIC Regulatory Guides, and APRA Prudential Standards.

We assist with:

• Australian Financial Services Licence (AFSL) and Australian Credit Licence (ACL) applications, variations and compliance programs.
• APRA licensing for RSEs, insurers and superannuation trustees.
• Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) obligations, including program development.
• Preparing and reviewing disclosure documents such as Product Disclosure Statements (PDS), Information Memoranda (IM) and Financial Services Guides (FSG).
• Ongoing compliance reviews, governance frameworks and staff training.

Early, proactive advice reduce the risk of ASIC investigations, AFCA complaints, regulatory penalties and reputational harm.

Our team advises lenders, borrowers, and advisers on a wide range of banking and finance transactions, as well as financial planning obligations. We ensure that both commercial objectives and compliance requirements are met.

Our services include:

• Structuring and documenting loan agreements, securities and guarantees.
• Advising on banking compliance and disclosure obligations.
• Supporting financial planners and advisers in meeting licensing, disclosure and best-interest duty obligations.
• Guidance on solicitor’s certificates, mortgage enforcement, and recovery actions.

We combine commercial acumen with technical knowledge to deliver reliable and effective outcomes.

Insurance and financial complaints require prompt, strategic responses. We act for policyholders, beneficiaries,  trustees and other parties in disputes with insurers, regulators and through Australian Financial Complaints Authority (AFCA).

We assist with:

• Insurance claims across life, general, and professional indemnity policies.
• TPD (Total and Permanent Disability), income protection, and death benefit claims under superannuation.
• Insurance coverage disputes, denial of claims, and policy interpretation issues.
• AFCA complaints, submissions and negotiation on behalf of clients.
• Litigation and dispute resolution, including defending or prosecuting claims in court.

Our goal is to resolve disputes efficiently and secure the maximum protection for our clients’ interests.

We provide practical and technical advice to fund managers, trustees, and institutions across managed funds, superannuation, and privacy compliance.

Our services include:

• Establishing managed investment schemes.
• Advising superannuation trustees on compliance with APRA prudential standard and the Superannuation Industry (Supervision) Act 1993 (Cth).
• Handling member disputes and trustee obligations.
• Advising on privacy and data protection obligations under the Privacy Act 1988 (Cth), including policies, breaches and reporting obligations.

We understand the regulatory and commercial pressures in these sectors and provide advice that enables our clients to operate with confidence.

Legal Finance Expertise

Having a legal finance expert embedded in your advisory team ensures your commercial strategy aligns with regulatory expectations. We not only mitigate risks but also help clients identify growth opportunities through proactive legal structuring.

Our lawyers act as both compliance partners and strategic advisors, ensuring your organisation is future ready.

• Regulatory Insight – Advising on ASIC and APRA requirements, licensing, disclosure, prudential standards and continuous compliance.
• Commercial Acumen – Strategic structuring advice, joint ventures and corporate finance to unlock opportunities and minimise risk.
• National Reach – Serving clients across Australia, with offices in Melbourne, Sydney, Brisbane and Adelaide
• Direct Senior Expertise – You’ll work closely with senior lawyers and partners who understand the commercial realities of your industry and the practices of the regulators.
• Proven Track Record – Experience spanning superannuation trustees, insurance firms and multi-jurisdictional disputes.

Financial services is one of the most heavily regulated sectors in Australia. The cost of non-compliance can be devastating—from penalties and reputational damage to loss of licence. By engaging experienced lawyers, businesses gain commercial confidence to grow and innovate.

We help protect your interests in financial disputes or regulatory matters. Expert advice gives you peace of mind and a sound financial foundation for your business.