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Litigation Services

Financial Services Disputes

The financial services sector faces an ever changing legal and regulatory environment, as well as increasingly active regulators and investors. Clients choose us for the strength of our financial services industry knowledge and our focus on strategic management of disputes within the broader context of their business or circumstances. We represent a wide variety of clients in disputes involving financial services transactions and financial products.

Examples of our work

AFS licence dispute

Obtaining orders from the Administrative Appeals Tribunal overturning ASIC's decision to cancel a large fund manager's AFS licence.

Freedom of information dispute

Acting for an AFS licence holder responding to a Freedom of Information request lodged by a major newspaper seeking to reveal details of communications with ASIC.

Investor dispute

Acting for investors in a unit trust investigating a class action alleging misleading and deceptive conduct, conflicts of interest, and mismanagement by a responsible entity.

Financial advice

Successfully defending an individual and a corporate authorised representative in District Court proceedings for negligence and misleading or deceptive conduct in respect of financial advice provided to investors.

Licensee and authorised representative dispute

Acting for a corporate authorised representative who received a show cause notice from its licensee alleging breaches of statutory and contractual obligations.

ASIC investigations and notices

Acting for corporate entities and individuals, including AFS licence holders, authorised representatives, and employees, in relation to ASIC investigations and notices seeking provision of information or attendance at examinations with ASIC.

ASIC banning orders

Acting on behalf of recipients of ASIC notices in relation to the proposed imposition of orders banning the provision of financial services or acting as a director of a company.

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Contact McMahon Clarke

T +61 7 3239 2900
A Level 7, 100 Creek Street, Brisbane Qld 4000