Expertise

Financial services

Norton Gledhill assists clients with a range of services relating to the regulation of financial services including:

  • preparing and advising on Australian Financial Services Licence applications and variations
  • developing and advising on corporate governance systems
  • preparing and advising on authorised representative agreements
  • attending compliance committee meetings
  • advising on regulatory obligations including under the Corporations Act 2001 (Cth) and the Australian Securities and Investments Commission Act 2001 (Cth)
  • breach reporting
  • preparing relief applications and ASIC Class Order compliance