Financial Services

Financial Services

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The navigation of increasing compliance requires expert assistance and advice.

Our financial services team has comprehensive expertise having successfully applied for many financial services and regulatory licences and assisting a broad range of wholesale, and retail businesses with their ongoing compliance obligations. It is this practical experience, combined with our insights and passion to see financial services businesses thrive, which truly sets us apart. We assist our clients navigate regulatory and legislative changes to ensure their continued compliance with financial services law.

We work with a range of clients including ADIs, payments providers, established and early stage FinTechs, financial planners, fund managers, corporate advisors and syndicators. We provide simple and innovative solutions to regulatory obligations, and have developed an online digital solution to provide a comprehensive licensing, risk management and compliance solution.

Cowell Clarke makes the complex simple.

Anti-Money Laundering compliance

Cowell Clarke’s financial services team has extensive expertise in dealing with and managing Anti-Money Laundering and Counter-Terrorism Financing (AML/CTF) compliance and risks. We provide a full range of legal and regulatory services to reporting entities under the AML/CTF Act to assist them ensure they are meeting their ongoing compliance obligations and other sanctions regulations both in Australia and overseas.

Ongoing compliance with our Digital Solution

Our AFSL compliance portal digital solution simplifies and centralises your ongoing AFSL compliance obligations. For further information click here.

Adelaide and Sydney Offices

We have members of our financial service team located in both our Adelaide and Sydney offices.


 

Expertise

  • Advice on compliant structures and licensing requirements including preparation and review of Australian financial services licence applications and variations.

  • Compliance and risk frameworks, as well as ongoing risk and compliance training and support.

  • Financial services regulatory advice for established and mature businesses, FinTech start-ups, influencers or new initiatives.

  • Preparation and review of disclosure documents including product disclosure statements, financial services guides, statements of advice, annual disclosure statements, other disclosure documents

  • Review of  and marketing material and websites.

  • Superannuation advice, licensing and exemptions.

  • Applications for relief, modifications or exemptions, including for unusual or innovative structures.