Financial Advisors
We help financial advisors resolve their disputes , whether it is an AFCA complaint, a licensee dispute or part of their IDR, we can advise and represent financial advisors to
help them to achieve the right outcomes.
We also held authorised representatives meet their regulatory obligations, advising them on legislative and regulatory compliance to help them reduce their risk.
IDR
We help advisors prepare IDR responses that reduce their organisational risk and comply with ASIC requirements
AFCA
We represent financial advisors in AFCA responding to client complaints, preparing statements and submissions and advancing cases to conciliation and determination
Compliance
We help financial advisors meet their regulatory obligations, advising them on their policies and procedures and other steps they can take to meet those obligations
Insolvency Professionals
We help insolvency professionals meet their compliance obligations, o they can put in place the workflows, checklists and other procedures they need to stay compliant. We do this cost-effectively, so that the engaging of legal services, supports them rather than being an expenditure drain on the business they are appointed to.
We also help insolvency professionals with proof of debt adjudications, response to information requests and advise on remuneration and directions applications.
Policies and Procedures
We review policies and procedures and advise on what steps can be taken to comply with the Corporations Act
Risk Management
We help put in place risk management frameworks to reduce risk and ensure Corporations Act obligations are met
Corporations Act Advice
We advise on remuneration approval rights and on rights when dealing with committees of inspection