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Litigation Services

Regulatory investigations

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.

Examples of our work

Australian Financial Complaints Authority claims

Acting for a licensee challenging the jurisdiction of AFCA to investigate multiple complaints stemming from the conduct of related parties of an authorised representative.

ASIC examinations

Acting for employees of a major financial institution in ASIC interviews concerning alleged misconduct by their employer.

ASIC notices

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.

Banning orders

Acting on behalf of recipients of ASIC notices in relation to the proposed imposition of orders banning individuals from providing financial services.

AFS licence cancellations

Acting on behalf of AFS licence holders who have received ASIC notices in relation to the proposed cancellation of their AFS licence.

AFS licence dispute

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

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Contact McMahon Clarke

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