Compliance
Business owners and professionals are faced with an ever-increasing regulatory burden, legislation getting longer and more complex
We help business owners and professionals manage their compliance risk, advising them on compliance obligations and practical steps they can take to reduce risk.
We help business owners and professionals put in place policies and procedures to reduce risk and review contracts to ensure statutory compliance.
Financial advisors face an increasing regulatory burden. We help advisors meet that burden by advising on their statutory duties and other obligations and on what steps they need to take to reduce regulatory risk
We also advise on changes in the law, whether it's amendments to the Corporations Act, recent case law or a recently published regulatory guide
Compliance
Advice
We provide advice to financial advisors on their statutory duties and other obligations
We advise them on obligations under the Corporations Act, based on relevant case law and regulatory guidance
Licensee negotiations
We advise authorised representatives when dealing with their licensees
We negotiate authorised representative agreements and other contractual obligations to ensure the law is complied with and a fair outcome is achieved
Policies and Procedures
We review financial advisors' procedures to ensure they are compliant with their obligations
We also help them put in place policies to address recent changes in the law and to ensure compliance
We help business owners manage their compliance risk. We make sure that regulatory obligations are met, reviewing existing contracts against statutory obligations and helping put in place policies and procedures
We advise them on their obligations under the Corporations Act, on directors' and shareholders' rights and on the steps needed to be taken to reduce legislative risk
Director Advice
We advise directors on their duties and on the steps they need to take to ensure statutory compliance
We advise on preparing agendas, on voting rights, on meeting procedure and on the minuting of meetings
Shareholder Advice
We advise shareholders on their rights and obligations, whether under the Corporations Act or a company's constitution
We advise shareholders on their rights at general meetings and steps they can take to make sure their proposed resolutions are considered
Procedures
We review company and business procedures to make sure they are Corporations Act compliant
We advise on how procedures can be improved to ensure both compliance and efficiency
We advise creditors on the steps they need to take to participate in liquidation and administration meetings and on their rights in dealing with the liquidator or administrator
We provide insolvency compliance advice to insolvency professionals. We help them with their risk management frameworks and internal procedures, reviewing those documents to advise on compliance with legislation, regulations and ASIC guidance
Creditor Advice
We advise creditors on their rights at liquidation and administration meetings, including the preparation of proxies and advice as to voting rights
We also advise creditors on whether liquidators and administrators are meeting their obligations and on their rights to request information
Liquidator Advice
We advise liquidators on their statutory duties and creditor meetings, remuneration and reporting compliance
We review liquidators' procedures, helping them to put in place comprehensive compliance frameworks that reduce risk
Administrator Advice
We advise administrators on their statutory duties and compliance obligations, including the first and second meetings of creditors and creditor reporting obligations
We review voluntary administrator procedures to ensure that legislative change and case law are addressed