Regulatory Lawyers Sydney

Navigating Australia’s regulatory landscape demands specialised legal expertise and problem solving that can provide a balance of the tailored  legal advice and robust defence and negotiation. Our experienced regulatory lawyers in Sydney assist businesses and corporations successfully manage compliance obligations and effectively respond to regulatory enforcement actions.

With deep industry knowledge, in-house and practical experience handling complex regulatory matters, our Sydney-based lawyers offer strategic legal advice and representation designed to protect your business interests and commercial reputation. Whether this is advising on ASIC, ACCC or SafeWork, we provide clear and concise advice when dealing with complex regulatory and compliance issues.

If you are being investigated or have received correspondence from any regulatory authority, we advise you to obtain urgent legal advice to mitigate unnecessary risks and improve the chances of a favourable outcome. Responding in a  prompt manner and understanding the regulator’s enforcement powers and possible actions are crucial to navigating complex regulatory issues.

Our regulatory lawyer team offers specialised legal advice and representation across a range of industry specific sectors, delivering practical expertise and legal solutions in:

ASIC Investigations & Enforcement Actions

Facing regulatory scrutiny from ASIC can be daunting and overwhelming for businesses. Our lawyers understand the complexities of ASIC investigations and enforcement processes, ensuring you or your business responds strategically to notices, hearings, and regulatory compliance demands.

We provide expert guidance through every step, mitigating risks and protecting your corporate reputation. Read more about ASIC Enforcement here.

We assist in advising clients dealing with ASIC with a range of matter including:

• ASIC examinations and compulsory information requests;
• Representation in enforcement actions and court proceedings;
• Negotiation of enforceable undertakings; and
• Breach reporting and remedial actions.

ACCC Compliance & Competition Law

Compliance with the Australian Competition and Consumer Commission (ACCC) regulations is critical. We provide clear, commercially sound advice to safeguard your operations, manage regulatory investigations, to help your business ensure competitive compliance.

Our lawyers also advise clients on ACCC investigations, inquiries or notices.

Our services include:

• Advice on mergers, acquisitions, and market entry;
• Representation in cartel, market-power, and unfair-practices investigations;
• Assistance with consumer law compliance and misleading trade practice (ACL) disputes; and
• Responding to ACCC inquiries and compulsory notices.

The Australian financial services sector operates within a stringent regulatory framework for both the retail and wholesale financial services sectors. Our lawyers offer robust practical guidance to financial institutions (banks and non-bank lenders), FinTech enterprises including payment service provider (PSP), and non-cash payment (NCP) facilities (including “non-cash funds transfer”), payment service intermediary (PSI), and stored value facility (SVF) such as prepaid cards/digital wallets, and managed investment schemes.

We deliver legal expertise in:

• Payments Licensing framework under the Corporations Act 2001 (Cth), compliance reviews for new digital products, and ePayments Code, and AFSL obligations;
• Responsible lending obligations (RLO), credit law, and AML-CTF framework for ACL holders;
• Digital asset platform and AFSL licensing framework (i.e., upcoming Digital Asset Platforms (DAPs); and Tokenised Custody Platforms (TCPs);
• Regulatory advice for new financial products and technology implementation including issuing and distribution of SVFs ;
• Regulatory advice for payment initiation (PayTo services), and payment facilitation services (e.g., merchant acquiring services);
• Regulatory advice for payment technology and enablement services (e.g., Payment gateways)
• CPD Training for Responsible Managers (RMs), and AML-CTF awareness training for the in-house staff in both financial, insurance, and fintech industries;
• Representation during ASIC investigations, hearings, and royal commissions; and
• Strategic and prompt response to regulatory breaches and remediation programs.

Effective corporate governance and Policy compliance frameworks protect businesses from regulatory risk and promotes business reputation. Our Policy Compliance and Regulatory lawyers provide customised compliance strategies and governance advice tailored specifically to your organisational structure and specific industry regulations.

We support businesses with:

• Corporate governance structuring and policies;
• Board responsibilities and risk management frameworks;
• In-house contract reviews, contract workflow advice, and contract negotiation, including creating contract clause bank, bespoke in-house manuals, contract checklist, playbook, and contract life cycle management legal advice;
• Compliance audits. and risk assessments; and
• Probity reviews and statutory reporting obligations for ASIC, AFCA, and AUSTRAC.

Privacy, Information and Data Security (Infosec) & Cybersecurity including APRA standard Operational Resilience Management (CPS230) for fintech, financial service and insurance companies

Privacy and data security regulations in Australia are continually evolving and increasingly complex. Our regulatory lawyers  guide businesses through their privacy and data security obligations, ensuring compliance with Australian and international data protection laws.

Our comprehensive privacy services include:

• Privacy compliance audits and frameworks;
• Data breach response and notification processes;
• Drafting privacy policies, statements; and Regulatory Investigations, Inquiries, & Hearings

Our regulatory lawyers have significant experience managing high-profile investigations, inquiries, and Royal Commissions across various industries. We understand how to strategically navigate proceedings, minimising exposure to financial penalties, reputational harm, and operational disruption.

We expertly represent clients involved in:

• State and federal ombudsman investigations;
• Professional disciplinary hearings;
• Workplace and industry regulator actions (including SafeWork NSW )
• Coroner Court