Review & remediation of AFSL conditions and enforceable undertakings

AFSL holders must meet strict regulatory standards, and any failure to comply can result in enforceable undertakings or additional license conditions imposed by ASIC. Our team provides a detailed assessment of your current AFSL obligations, identifying compliance gaps and areas requiring remediation. We assist in developing and implementing corrective measures that align with ASIC’s expectations, ensuring your business meets all regulatory requirements. Whether you need guidance on addressing specific AFSL conditions, responding to ASIC’s concerns, or implementing long-term compliance strategies, we provide expert support at every stage. We help you navigate the complexities of AFSL regulation efficiently while minimising risks and potential penalties.

Assistance with review and remediation of ASX and Cboe enforcement actions

Market participants operating under ASX and Cboe regulations must adhere to strict trading, settlement, and conduct requirements. Regulatory breaches or non-compliance can lead to enforcement actions, requiring businesses to take swift and strategic remedial action. We offer in-depth reviews of ASX and Cboe enforcement matters, providing clear guidance on how to address regulatory concerns effectively. Our team assists in analysing compliance failures, preparing responses to enforcement actions, and implementing remedial frameworks that align with ASX and Cboe standards. With our support, businesses can confidently navigate enforcement proceedings, ensuring they meet all necessary regulatory expectations and minimise the risk of future non-compliance.

Expert witness services, informal expert analysis and related reports

In legal and regulatory disputes, independent expert analysis can provide crucial insights to support a case. Our expert witness services include informal expert assessments, detailed forensic analysis and reports, and professional opinions on financial regulatory matters. We assist legal teams, businesses, and regulatory bodies by offering clear, well-researched expert analysis tailored to specific cases. Whether you require an informal review of compliance issues, a formal expert report, or independent expert opinion, our team of professionals will deliver objective and credible insights. With extensive experience in financial markets, regulatory frameworks, and compliance matters, we provide the clarity and professionalism needed in complex legal and regulatory proceedings.

• Industry expertise – We have extensive experience navigating AFSL conditions, enforceable undertakings, and other enforcement actions.

• Tailored solutions – We customise our services to meet your specific needs and regulatory obligations, ensuring the best possible outcome.

• Proactive approach – We assist you in identifying potential challenges early on, preventing unnecessary issues with regulatory compliance.