Regulatory investigations often involve complex legal, procedural, governance, and reputational issues and demand quick and effective responses. We understand the disruption regulatory investigations can cause to business operations. Our combined dispute resolution and regulatory experience in the funds management sector allows us to help clients navigate the challenges of responding to regulatory intervention against the backdrop of broader business operations.
Acting for a licensee challenging the jurisdiction of AFCA to investigate multiple complaints stemming from the conduct of related parties of an authorised representative.
Acting for employees of a major financial institution in ASIC interviews concerning alleged misconduct by their employer.
Acting for recipients of ASIC notices, including AFS licence holders, compelling the provision of information concerning their activities, policies, and processes, and that of authorised representatives.
Acting on behalf of recipients of ASIC notices in relation to the proposed imposition of orders banning individuals from providing financial services.
Acting on behalf of AFS licence holders who have received ASIC notices in relation to the proposed cancellation of their AFS licence.
Obtaining orders from the Administrative Appeals Tribunal overturning ASIC's decision to cancel a large fund manager's AFS licence.
Partner Sean McMahon is recognised for Investment Funds and Funds Management in Best Lawyers in Australia
We are ranked as leaders in our focus industry sectors – funds management and real estate
Recognised in Best Lawyers in Australia for Corporate Law
‘They are absolute specialists in the area of managed funds, they are on the pulse and experts in this area, and they’re solutions-oriented.’
Chambers Asia Pacific Guide 2020
Recognised for Real Property Law in Best Lawyers in Australia
Partner Emma Donaghue is named in Best Lawyers in Australia for Banking and Finance Law
‘The ability to understand the key drivers of the counterparty and navigate negotiations and documentation is a critical skill the Real Estate team leverages to benefit clients.’
Chambers Asia Pacific 2020