Fintech and financial services regulatory in Australia

Allens

Frequently handling AUSTRAC civil penalty proceedings, Allens is experienced in banking digitisation and cryptocurrency regulation work, as well as M&A involving financial institutions. In Sydney, Simun Soljo often advises wealth managers, while Dominic Anderson assists banks on strategic fintech partnerships. In Melbourne, Simon Sherwood is experienced in regulatory investigations, while Peter Haig is well-versed in anti-money laundering issues. Kerensa Sneyd focuses on retail banking mandates, while in Sydney, Michelle Levy handles life insurance matters. Other key members of the team include Sydney-based David Rountree and Valeska Bloch.

Responsables de la pratique:

Dominic Anderson; Simun Soljo; Simon Sherwood


Autres avocats clés:

Peter Haig; Kerensa Sneyd; Michelle Levy; David Rountree; Valeska Bloch


Les références

‘In my view, the Allens financial services regulatory practice is the leading one in Australia. The advice given by the team is pragmatic, practical, and comprehensive.’

‘The team comprises experts in the field who are proactive, highly engaging, and always responsive. The advice provided (whether verbal or written) is always comprehensive yet practical. The lawyers are up-to-date with the latest developments and are readily accessible. They are our go-to firm, and we love working with them.’

‘I have engaged the financial services team on many matters over the past year. They set themselves apart through a combination of responsiveness, practical business knowledge, and a solutions-focused approach.’

Principaux clients

ANZ


NAB


Resolution Life


PwC


BT


Insignia


Westpac


Coles


Principaux dossiers


  • Advised ANZ on the launch of its first digital-led home loan for ANZ Plus.
  • Advised on all aspects of NAB’s strategic partnership and investment into leading retail finance platform provider, Plenti.
  • Advised Westpac on the provision of a new core banking platform for institutional clients by 10x Future Technologies.

Gilbert + Tobin

Regularly advising digital wallet providers, Gilbert + Tobin is well-equipped to handle financial services disputes and payment systems implementations. In Sydney, Richard Harris leads the firm’s disputes and investigations practice, and Peter Reeves is knowledgeable of digital platforms and markets. Silvana Wood is well-regarded in the banking, insurance and superannuation sectors, while Elizabeth Avery is proficient in antitrust issues. Simon Burns is skilled at handling blockchain matters, and Georgina Willcock is proficient in anti-money laundering work.

Responsables de la pratique:

Richard Harris; Peter Reeves; Elizabeth Avery; Silvana Wood


Autres avocats clés:

Simon Burns; Georgina Willcock


Les références

‘The team publish some of the most useful and informative guidance on topical matters. This is helpful in prompting the industry on key matters to consider and to think deeply on operationalising regulatory obligations.’

‘The team is highly organised and focused on deliverables.’

‘They have very strong capabilities across all types of FS regulation. They are open, responsive, collaborative, and commercially focused.’

Principaux clients

Westpac Banking Corporation


Lanterne Fund Services


Auto & General Insurance


Australian Banking Association


Spaceship


Block Earner


ConnectID and Australian Payments Plus (AP+)


Australian Banking Association


Prosegur Cash SA


Principaux dossiers


  • Represented Westpac in class action proceedings which arose from proceedings commenced by AUSTRAC.
  • Advised Block Earner on non-standard regulatory engagement and its landmark proceedings with ASIC.
  • Advised Australian Payments Plus (AP+) on the establishment of a new market leading national digital identity exchange and network.

Herbert Smith Freehills LLP

Jointly headed by Anna Sutherland and Carolyn Pugsley, Herbert Smith Freehills LLP is experienced in anti-money laundering and digital asset matters. Luke Hastings often advises global investment banks and Michael Vrisakis is well-regarded for his financial services sector knowledge. Charlotte Henry and Andrew Eastwood are skilled at handling regulatory matters. Kate Cahill is knowledgeable of anti-money laundering, Harry Edwards is a key contact for regulatory enforcement actions, and Alice Molan specialises in financial crime work. Maged Girgis often advises supernnuation funds, and Andrew Bradley handles life insurance issues. Tamanna Islam is another key team member.

Responsables de la pratique:

Anna Sutherland; Carolyn Pugsley


 


Autres avocats clés:

Luke Hastings; Michael Vrisakis; Charlotte Henry; Andrew Eastwood; Kate Cahill; Harry Edwards; Alice Molan; Maged Girgis; Andrew Bradley; Tamanna Islam


Principaux clients

AMP


Australia and New Zealand Banking Group


Australian Unity


Avant


Aware Super


BNP Paribas


Commonwealth Bank of Australia


ClearView


Colonial First State


Compare Club


Future Super


HCF Life


Intercontinental Exchange


JP Morgan


Judo Bank


Liberty


Mercury


MetLife


Mine Super


Morgan Stanley


King & Wood Mallesons

Acting for a varied client list of banks, financial institutions, and insurers, King & Wood Mallesons’ broad expertise encompasses digital asset matters, FAR implementation mandates, and regulatory issues. In Sydney, Urszula McCormack is knowledgeable of blockchain issues, while Kate Jackson-Maynes often handles matters involving financial crime. Alexander Morris is noted for his strength in commercial disputes, while Anthony Boogert frequently advises venture capital investors. Max Allan is skilled at advising on financial market transactions, Dale Rayner is well-versed in cryptocurrency regulation, and Nathan Hodge is proficient in fund management work. Sam Farrell assists clients with payment innovation. Mark McFarlane is another key team member.

Responsables de la pratique:

Mark McFarlane; Alexander Morris; Urszula McCormack; Anthony Boogert; Kate Jackson-Maynes


Autres avocats clés:

Max Allan; Dale Rayner; Nathan Hodge; Sam Farrell; Sarah Yu; Chelsea Payne


Les références

‘For me, the most important element is the quality of the advice. I think the team offers a level of advice and experience that is increasingly rare in the financial services regulatory space.’

‘Extremely diligent and a well-researched approach to their work. They provide clever solutions, and draw on their broader skill set where helpful.’

‘KWM is able to provide high-quality, commercially focused advice in both Australia and Hong Kong, amongst other APAC markets. They are expert advisers in the crypto industry, providing accurate, up-to-date, client-focused support.’

Principaux clients

Commonwealth Bank of Australia


Latitude Financial Services


OnePath Life Limited


Allianz Australia Insurance Limited


Suncorp


Latitude Financial


Australian Retirement Trust


Westpac


AMP


Macquarie


Clearview Life Nominees Pty Limited


AMP


Aware Super


Insignia


Colonial First State


Rabobank Australia Limited


Block, Inc


Payright


Grow


Stripe Payments Australia


Bank for International Settlements


Crypto.com


Fintech Australia


Principaux dossiers


  • Successfully defended OnePath Life Limited, a subsidiary of Zurich Insurance Group Limited, in civil penalty proceedings brought by ASIC in the Federal Court.
  • Advised a number of significant financial institutions on their preparations for the introduction of the UCT reforms, including Australian Retirement Trust, Westpac, AMP and Macquarie.
  • Advised the Bank for International Settlements (BIS) on Project mBridge, which successfully piloted a landmark new distributed ledger-based platform for cross-border transactions.

A&O Shearman

Often acting for financial services institutions, investment banks, and sovereign wealth funds, A&O Shearman is well-equipped to handle payment system regulation issues. In Sydney, practice head Jason Denisenko is noted for his strength in financial service licensing, and Christopher Scarf advises clients on licensing and regulatory obligations.

Responsables de la pratique:

Jason Denisenko


Autres avocats clés:

Christopher Scarf


Les références

‘They have enviable knowledge of financial services regulation, funds, and asset management in Australia. They have practical experience and industry knowledge to provide clear, easy to understand advice across a broad range of topics.’

‘They are up to date on the latest developments. The team consists not just of highly experienced partners but is also supported by extremely capable associates. The team is friendly, flexible, and generally very good to work with.’

‘Jason Denisenko is an outstanding financial services practitioner with a detailed and deep understanding of financial services regulation, funds, and asset management in Australia. He couples his excellent legal knowledge with broad knowledge of the Australian market and current industry practice.’

Principaux clients

AUSIEX


Victoria Funds Management Corporation


NSW Treasury Corporation


Principaux dossiers


Baker McKenzie

Commended for providing ‘technical legal advice’ Baker McKenzie’s key strengths lie in blockchain, data protection, and financial services regulation. In Sydney, Adrian Lawrence advises clients on digital retail banking, while Bill Fuggle is knowledgeable of capital markets issues. Shemira Jeevaratnam often assists wealthtechs, and in Brisbane, Trudi Procter is recommended for financial service compliance work.

Responsables de la pratique:

Adrian Lawrence; Bill Fuggle


Autres avocats clés:

Shemira Jeevaratnam; Trudi Procter; Alan Darwin


Les références

‘They provide good technical and legal advice of the financial licensing regime in Australia.’

Principaux clients

AFEX


CMC Markets Ltd


Morgan Stanley Australia Securities Limited


Jarden Securities Limited


Wayflyer


RAM


Loftus Peak Investment Management Ltd


Quay Fund Services Ltd


Sequoia Specialist Investment Pty Ltd


Principaux dossiers


  • Advised an American multinational financial services company on their financial products.
  • Advised a global investment bank and financial services firm on various regulatory matters both domestically and on a cross-border basis.
  • Advised Wayflyer on regulatory matters surrounding the global rollout of a financing structure across Oceania and Europe.

Clayton Utz

Noted for its strength in commercial litigation, Clayton Utz routinely acts for investment banks, payment services companies, and sovereign wealth funds. In Sydney, Ross McInnes is experienced in contentious regulatory matters, while Matthew Daley is well-versed in financial services licensing. Vanessa Pallone is a key contact for major banks, and Katie Wood advises clients on the Financial Accountability Regime (FAR).

Responsables de la pratique:

Matthew Daley; Ross McInnes


Autres avocats clés:

Vanessa Pallone; Katie Wood; Steven Klimt; David Gerber; Vincent Giang


Les références

‘Exceptional expertise, experience, and clever strategic guidance.’

‘The Clayton Utz retail banking regulatory team is a leader in this market. They have deep knowledge of the evolution of the current regulatory regimes, and provide trusted advice on a range of difficult issues, including regulatory credit, payment systems, privacy, and AML.’

‘Clayton Utz has a dedicated financial services team that supports our business by providing high-quality legal advice and support. They are available to assist wherever and whenever required, to ensure we can deliver on complicated projects, often within tight timeframes.’

Principaux clients

Toyota Finance Australia


Colonial First State Investments Limited


Colonial Mutual Life Assurance Society Limited


AIA Australia Limited


CBA


Diversa Trustees Limited


Colonial Mutual Life


AIA Australia Limited


Principaux dossiers


  • Represented Toyota Finance Australia Limited in proceedings before the Supreme Court of Victoria.
  • Advised the Commonwealth Bank of Australia and X15 Ventures on the Kit product.
  • Advised various financial services entities on Financial Accountability Regime compliance.

Corrs Chambers Westgarth

With experience in regulatory investigations and enforcement actions, Corrs Chambers Westgarth is highlighted for its FAR expertise. Operating out of Sydney, James North is experienced in tech transactions and co-leads the team with Sandy Mak and Mark Wilks. Steven Rice is a key contact for major Australian banks, and in Melbourne, Mizu Arda is experienced in financial crime work.

Responsables de la pratique:

James North; Sandy Mak; Mark Wilks


Autres avocats clés:

Steven Rice; Mizu Ardra; Fadi Khoury; Michael Chaaya; Mike Magee; Brendon Clarke


Les références

‘Corrs’ financial services regulatory practice has provided us with practical and commercial solutions to a constantly evolving regulatory landscape. Corrs delivers high-quality advice which demonstrates an in-depth understanding of our business and the wider litigation funding industry.’

‘What sets this team apart is their experience in international transactions and exposure, which helps when dealing with foreign fund managers and international transactions.’

‘They are truly subject market experts, and no others have the practical experience in this sector.’

Principaux clients

The Blackstone Group


MEC Global


Scheme Financial Vehicle Pty Ltd


Hale Capital Funds Management


Tradeweb Markets LLC


Google


Paypal


Heartland Group


WorldPay


BWP Management


Bank of Queensland


Commonwealth Bank of Australia


Alibaba


ANZ, National Australia Bank


Westpac


Principaux dossiers


  • Advising Google on a financial services regulatory project relating to the screening of financial products and services advertised on the Google platform and its liaison with ASIC.
  • Advising PayPal on a global project involving the licensing, conduct, AML/CTF, payments, sanctions, and regulatory obligations associated with a new proposed business structure.
  • Advising Tradeweb with all aspects of its proposed acquisition of Yieldbroker in Australia, including regulatory issues associated with the acquisition.

Norton Rose Fulbright

The ‘reliable, responsive, and knowledgeable’ team at Norton Rose Fulbright is well-placed to handle cryptocurrency, payment system, and smart contract issues. Working out of Sydney, James Morris advises financial institutions on regulatory matters, Peter Mulligan handles digital tech platform acquisitions, and Raymond Giblett is noted for his insurance expertise. In Melbourne, Rajaee Rohani is knowledgeable of anti-money laundering matters, and Sydney-based Shen Low is knowledgeable of payment systems. Timothy Chan is skilled at handling insurtech work, and Merren Taylor is focused on superannuation.

Responsables de la pratique:

James Morris; Raymond Giblett; Peter Mulligan


Autres avocats clés:

Rajaee Rohani; Shen Low; Timothy Chan; Merren Taylor; Stephen Lee; Vittorio Casamento; Sophie Clark


Les références

‘The practice is reliable, responsive, knowledgeable, available, and fun. They bring solutions to problems, or suggestions to assist in understanding the problem. They know our business well, and what they don’t know, they look into.’

‘The firm has provided us with timely and useful legal support. The work has ranged from regulatory guidance through to transaction support. In all instances, the work done has been high quality and taken into consideration market practices.’

‘The firm and its team have been diligent and hard-working in all the matters worked on. Furthermore, they approach the work in a commercial manner, which is appreciated.’

Principaux clients

Commonwealth Bank of Australia


ING Bank (Australia) Limited


AMP Limited


Westpac Banking Corporation


HSBC


QBE


ANZ Banking Group


Mercer


Australian Ethical


IOOF


Qantas


SquareTrade Australia


Battleface Insurance Services


iptiQ by Swiss Re


Assetinsure


Honey Insurance


Open Insurance


Principaux dossiers


  • Advising SquareTrade on the development of a ‘whole home protection program’ for protection plans covering electronic devices.
  • Advising Battleface Insurance Service on an agreement with a global provider of travel inventory services, enabling the embedding of insurance solutions for thousands of travel agents worldwide.
  • Advised Australian Ethical in the completion of a due diligence review of a material outsourcing agreement.

Clyde & Co LLP

Clyde & Co LLP is noted for its capabilities in investigative and regulatory work within the financial services sector. Avryl Lattin leads the team from Sydney and has broad knowledge of corporate governance, while Melbourne's Matthew Ellis specialises in structured reinsurance. Operating out of Brisbane, Liam Hennessy is adept at advising on accountability regimes and funds management.

Responsables de la pratique:

Avryl Lattin


Autres avocats clés:

Matthew Ellis; Liam Hennessy


Principaux clients

Enstar


Gallagher Basset


B2C2


Coinbase


Swyftx


Monochrome


OSL


Bitget


Bintense


WonderFi Technologies


Principaux dossiers


  • Advised Enstar Group Limited on the completion of a Loss Portfolio Transfer agreement between one of its wholly owned subsidiaries and RACQ Insurance Limited.
  • Acted for the major digital assets liquidity providers, exchanges, funds, and investment houses on their financial services licensing requirements, product design, and regulatory compliance.
  • Acted for Wonderfi on its acquisition of a trading platform to mark its first international foray into the Australian market.

Dentons

Dentons primarily assists financial services institutions with regulatory and compliance matters. In Sydney, Amber Warren co-leads the team with Elise Ivory, who has broad knowledge of credit law requirements and payment regulation. David Carter is a key contact for ADI’s and finance companies.

Responsables de la pratique:

Amber Warran; Elise Ivory


Autres avocats clés:

David Carter; Michael Lazar


Les références

‘They provide a personalised service and are always willing and able to assist.’

‘They have very strong industry experience in non-bank lending and mortgage broking.’

‘Rachel Walker is extremely responsive, bright, and commercially astute. She is technically strong and very easy to work with.’

Principaux clients

National Australia Bank


Westpac


St George


Bank of Queensland


Qudos Bank


Heritage Bank


Bluestone Mortgages


La Trobe Financial


Angle Auto Finance


Athena Home Loans


Bridgit


Pepper Group


MoneyMe Financial Group


Humm Group


OwnHome


BC Invest


Gateway Bank


Wisr


Mitchcap


Auswide Bank


Balmain NB


BC Securities


Cash Converters


Constantinople


Dutton Financial Services


Liberty Financial


Gateway Bank


IMB Bank


Community First Credit Union


Principaux dossiers


  • Advised the Bank of Queensland on an unfair contract term review.
  • Advised OwnHome on the development of a new loan product for first home buyers to access credit to fund residential property deposits.
  • Advised the La Trobe Financial on an unfair contract term review.

Hall & Wilcox

Praised for its ‘great knowledge of the superannuation sector’, Hall & Wilcox covers blockchain technology, digital marketplace issues, and regulatory compliance. In Melbourne, Harry New is vastly knowledgeable of anti-money laundering and counter terrorism financing. John Bassilios is proficient in funds management issues and is lauded for his ‘excellent understanding of FinTech.’

Responsables de la pratique:

Harry New; John Bassilios


Autres avocats clés:

Max Ding


Les références

‘They have great knowledge of the superannuation sector.’

‘Their strengths are strong expertise and commerciality around all aspects of financial services law. They are a team that really “gets” complex fund builds.’

‘The team is highly experienced in the financial services industry, particularly in funds management, which relates to my business. I appreciate the specific knowledge and experience.’

Principaux clients

Hope Housing Fund Management


Spirit Super


Australian Unity


IBA Group


AL Capital Holdings Pty Ltd


Allianz Australia Insurance Limited


Invest Blue Pty Limited


Future Rent


Vanguard Investments Australia


Ironbark Asset Management


Fidira


Yondr Money Pty Ltd


Mezfi Pty Ltd


Whitebit Australia Pty Ltd


Shabaas Pty Ltd


Simbl Pty Ltd


Snug Technologies Pty Ltd


Beaufort Fiduciaries Pty Ltd


Adatree Pty Ltd


Principaux dossiers


  • Represented one of the world’s largest fund managers in major civil penalty proceedings commenced by ASIC in the Federal Court of Australia for alleged ‘greenwashing’.
  • Advised on the first consolidation of two mutual life companies under the Financial Sector (Transfer and Restructure) Act 1999.
  • Advised Ironbark Asset Management on significant and complex regulatory issues.

Hamilton Locke

Hamilton Locke is a key port of call for fintech and blockchain businesses, often advising on commercial, corporate, and regulatory issues. Charmian Holmes oversees the practice from Brisbane, and is knowledgeable of aggregate deductible schemes, while in Sydney, Jaime Lumsden is well-versed in digital asset platform licensing. Erik Setio handles capital raising, Michele Levine is skilled at security token matters, and Glenjon Aligiannis is adept at advising on wealth management. Brisbane-based Jessica Smith advises clients on anti-money laundering issues, and Nicholas Pavouris is another key team member.

Responsables de la pratique:

Charmian Holmes


Autres avocats clés:

Jaime Lumsden; Erik Setio; Michele Levine; Glenjon Aligiannis; Jessica Smith; Nicholas Pavouris


Les références

‘The team is highly knowledgeable in fund structuring and regulation, which has been extremely helpful to the creation of funds for our investors (both domestic and international). The team is very responsive and adapts well to changing requirements in our fast-paced environment.’

‘The team members are very commercial and pragmatic. They understand what we are trying to achieve on behalf of our stakeholders and investors alike, as a result, they are outcome-oriented and work around the clock to allow us to meet our requirements.’

‘We have worked with the Hamilton Locke funds team on a few property and credit fund deals over the past few years. The Hamilton Locke team is the go-to team in the industry as they are highly knowledgeable and experienced. They cut through the complexity and are easy to deal with.’

Principaux clients

Payright Pty Ltd


Valeur Pty Ltd


Change Financial


Fiduciary Financial Services Pty Ltd


The University of Newcastle


University of Technology Sydney


Macquarie University


Western Sydney University


Microsoft Corporation


AmTrust North America Inc


Navinci Global Markets Pty Ltd


Eureka Group Holdings


Birdwood Energy


MA Financial


Atlantis


Prospa Group Limited


Principaux dossiers


  • Assisted AmTrust and Microsoft on the review of a new extended hardware/mechanical breakdown product to be launched in Australia.
  • Advised Prospa on its successful acquisition of the Zip Business loan portfolio from Zip Business Pty Ltd for approximately A$15.6 million.
  • Advised Atlantis Fisheries Consulting Group on the design and launch of a new wholesale managed investment scheme, the Australian Fisheries Investment Trust.

Johnson Winter Slattery

Commended for its ‘proven track record and experience in financial services regulatory work’, Johnson Winter Slattery is headed by Sydney-based Austin Bell. Bell is vastly knowledgeable of investment funds and hedge funds.

Responsables de la pratique:

Austin Bell


Autres avocats clés:

Tom Jarvis


Les références

‘They have a proven track record in financial services regulatory work.’

‘Austin Bell and his team provide practical and well-considered advice at all times. It’s comforting to know that Austin is always available at the other end of the line when a technical question arises.’

Principaux clients

ASIC


AllianceBernstein


PIMCO


Capstone Investment Advisors


Alvarez & Marsal


amicaa


Neuberger Berman


Principaux dossiers


  • Represented ASIC in a successful Federal Court proceeding against ANZ in relation to the bank’s failure to disclose to the market that it had failed to place between $754 and $790 million of shares in its $2.5 billion institutional share placement.
  • Advised AllianceBernstein on the rollover of the disclosure documents for interests in various funds.
  • Advised Amicaa on its initial AFSL applications and the establishment of all of its funds.

Minter Ellison

With in-depth expertise in regulatory cryptocurrency and payment issues, Minter Ellison is noted by clients for being ‘extremely well-organised.’ Operating out of Sydney, Richard Batten is knowledgeable of anti-money laundering, while Michael Lawson is proficient in funds management. Tze Ting Liew is hailed as ‘an outstanding lawyer’, Caitlin Murray is well-versed in Corporations Act-relatedmatters, and in Brisbane, Ian Lockhart advises clients on consumer credit issues.

Responsables de la pratique:

Michael Lawson; Richard Batten


Autres avocats clés:

Tze Ting Liew; Caitlin Murray; Ian Lockhart; Martin Wright


Les références

‘Their ability to meet our often short timeframes has been impressive.’

‘Our strong relationship with specific Minters staff has been a differentiator.’

‘They are extremely well-organised and can mobilise additional resources promptly. They are very good at working with counsel—keeping them up to date, notifying them of timelines, providing support, and integrating into a team.’

Principaux clients

National Australia Bank Limited


Allianz


Commonwealth Bank of Australia


AIG


Challenger Limited


MetLife


Macquarie


Vanguard


Perpetual Limited


Westpac


Magellan Asset Management Limited


IAG


Mirae Asset Global Investments


QBE


Principaux dossiers


  • Advised Ripple on the financial services regulatory implications of offering different types of products and services in Australia.
  • Representing a global financial services corporation in the first regulatory enforcement proceeding of new financial services laws by ASIC.

Piper Alderman

Lauded for its ‘deep technical skills in all things fintech’, Piper Alderman is proficient in advising on anti-money laundering, blockchain, and financial services licensing mandates. Shannon Adams leads the practice from Adelaide. Andrea Beatty is vastly experienced in corporate finance, while Melbourne-based Steven Pettigrove is well-versed in counter-terrorism financing matters.

Responsables de la pratique:

Shannon Adams


Autres avocats clés:

Andrea Beatty; Steven Pettigrove; Lisa-Marie McKechnie


Les références

‘They have deep technical skills in all things Fintech and financials services—both from a traditional finance perspective and Web3 perspective. They are a cost-effective, deeply trusted business advisor.’

‘The team has the ability to distil complex or novel concepts in an easy, digestible manner.’

‘Piper Alderman are the go-to when it comes to assistance with cutting-edge technology and assisting with regulation. The team has a combination of industry knowledge, creativity, and professionalism.’

Principaux clients

FTX Australia


Korda Mentha


Digital Surge


Web3 Security Alliance


A16Z Crypto


Maxi EFX Global


Principaux dossiers


  • Advising KordaMentha on financial services and insolvency laws in connection with the administration of FTX Australia Pty Ltd.
  • Advised Digital Surge on its voluntary cryptocurrency administration.
  • Advised Security Alliance on the framework of ethical security hackers rescuing at-risk crypto assets where an active blockchain exploit is underway.

Colin Biggers & Paisley

Highlighted for its regulatory banking expertise, Colin Biggers & Paisley is well-versed in wholesale funds management work. Michael Bracken oversees the practice from Sydney and is skilled at advising on insurance coverage arrangements, while Kate Craig is a key port of call for domestic banks. Jane O’Neill is experienced in commercial disputes and Susannah Maclaren often handles class actions.

Responsables de la pratique:

Michael Bracken


 


Autres avocats clés:

Kate Craig; Jane O’Neil; Susannah Maclaren


Principaux clients

Association of Financial Advisors Ltd


Code Governance Committee Association Inc


Vasey RSL Care


Aviva PLC (UK)


Futureproof Financial Group


Chobani


Omnio Group Ltd


BG&E


Australian Military Bank


Zepto Payments


Principaux dossiers


  • Advised the Association of Financial Advisers Ltd on the implication of a proposed merger with the Financial Planning Association of Australia Limited.
  • Advised Aviva on the regulatory components of its acquisition of Probitas.
  • Advising Futureproof Financial Group on a proposed new equity preservation mortgage product designed to generate an annuity type return utilising home equity.

Gadens Lawyers

Gadens Lawyers’ key strengths lie in payment modernisation reforms, privacy act reforms, and regulatory fintech work. In Sydney, Kate Mills is well-versed in anti-money laundering and counter-terrorism financing, while Sinead Lynch is proficient in digital transformations. In Brisbane, Matthew Bode is experienced in investment transactions, Daniel Maroske specialises in contentious regulatory work, and Anna Fanelli is knowledgeable of financial disputes. Operating out of Melbourne, Caroline Ord is skilled at funds management, and Caroline Ord often advises on blockchain issues.

Responsables de la pratique:

Kate Mills; Matthew Bode; Sinead Lynch


Autres avocats clés:

Daniel Maroske; Anna Fanelli; Caroline Ord; Patrick Simon; Edward Martin; Clare Smith


Les références

‘Exceptional service delivery.’

‘Gadens truly understand their clients, which is their point of difference. Their technical knowledge and experience are undeniable, but their strengths lie in listening and delivering on client objectives.’

‘Gadens can work pragmatically, break down complex legal matters in simple terms, and get the best for their clients.’

Principaux clients

FinTech Australia


Credabl Pty Limited


AIMS Property Securities Fund


Australian Finance Industry Association Limited


Heritage Bank Ltd


NGS Digital Pty Ltd and Ryan Brown


Principaux dossiers


  • Assisted FinTech Australia and its FinTech members on engagement with Treasury on a range of relevant policy reform consultations.
  • Assisted Credabl Pty Limited with a successful application for an Australian Financial Services License.
  • Represented NGS Crypto Pty on proceedings initiated by ASIC surrounding the emerging regulation of digital currency assets.

K&L Gates

K&L Gates' broad capabilities encompass cross-border investments, cryptocurrency, and the formation of funds in Australia. Spearheading the Melbourne team, Jim Bulling is knowledgeable of financial product disclosure matters, and Daniel Knight advises on the distribution of financial products. Ravi Jayemanne is a key name for superannuation matters, and Simon Kiburg is noted for his strength in asset management. In Sydney, Kane Barnett, Lisa Lautier, and James Lonie are often engaged in transactional work, while Matthew Watts is experienced in venture capital fund-related issues.

Responsables de la pratique:

Jim Bulling


 


 


Autres avocats clés:

Daniel Knight; Ravi Jayemanne; Simon Kiburg; Kane Barnett; Lisa Lautier; James Lonie; Matthew Watts; Naomi Philp


Les références

‘K&L Gates has a strong team of legal professionals offering a diverse range of financial services and regulatory services to us. Over the last 12 months, a number of the lawyers have worked on our matters, and we found them to be dynamic, innovative, and proactive. We always enjoy working with the team and appreciate their collaborative approach to every matter.’

‘The partner’s attends the meetings, negotiates, and manages the matter as if their own. K&L Gates is my most trusted legal advisor.’

‘The team has deep international knowledge, which is very unique in the Australian market, which tends to be more domestically focused.’

Principaux clients

180 Markets Pty Ltd


Adatree


Altx


Apricor Capital


AXA Investment Managers Australia Limited


Centuria Property Funds Limited


CoinJar


Commonwealth Scientific and Industrial Research Organisation


CSIRO Financial Services Pty Ltd


Constantinople


CVS Lane


Dimensional Fund Advisors


DRC Savills


Elka Capital Pty Limited


EML Payments Limited


EQT AB


Fat Zebra


Frollo


Funding.com.au


Hamton


Honda Australia


Human Financial


Immutable


Intuit Inc.


Medibank Private Limited


Monash Investors


Novatti Group Limited


Paspalis


Payton Capital


PIMCO


Real IS


Resolution Life Australasia


Responsible Investment Association Australasia


Salus VC


SISS Data Services


Sniip


Stafford Capital Partners


Tiger Brokers (AU) Pty Ltd


TrueLayer Limited


Twynam Funds Management Pty Ltd


Volt


Yodlee


Zeller


Principaux dossiers


  • Advised DFA Australia Limited on the launch of three exchange traded funds.
  • Advising Immutable on all Australian financial services regulatory considerations and requirements in relation to the promotion and launch of the Inevitable Games Fund.
  • Advised Novatti on the legal / regulatory requirements for a number of new payment services including various card issuing and acquiring products.

Maddocks

Maddocks is a key contact for corporates seeking advice on compliance, investigations by regulators, and M&A involving financial services enterprises. In Melbourne, Gina Wilson is is noted for her vast litigation expertise, while Julian Smith is well-versed in funds establishment issues. Mick Garner is noted for his knowledge of superannuation funds, Sasha di Sipio has extensive corporate expertise, and Sydney-based Greg Palumbo is noted for his strength in blockchain issues.

Responsables de la pratique:

Gina Wilson; Julian Smith


Autres avocats clés:

Mick Garner; Sasha di Sipio; Greg Palumbo; Emily Millane


Principaux clients

Australian Securities and Investments Commission


Victorian Workcover Authority


ESUPERFUND


Australian Retirement Trust


Equity Trustees Ltd


NSW Treasury


Aristocrat Technologies


Grahger Group


Hapana Holdings


Principaux dossiers


  • Representing ASIC in multiple Federal Court civil penalty proceedings.
     
  • Advising the NSW Treasurer in relation to the merger of the Active Super superannuation fund with the Vision Super superannuation fund, creating a combined AUD28 billion fund.
     
  • Advising Aristocrat Technologies Australia Pty Ltd in relation to digital payments.