Regulatory & Compliance

 
Complying with all relevant laws, policies and regulations is critical given the financial, legal and reputational risks associated with non-compliance. It takes planning, vigilance and excellent legal support, particularly when investigations turn into prosecutions.

We have deep experience across the major areas of regulatory and compliance risk, including:

  • Anti-money laundering, including reducing risk from financial crime
  • Competition and consumer law
  • Financial service regulation and licensing
  • Privacy, including in online environments
  • Insurance, including product liability
  • Regulatory investigations and prosecutions, and
  • Work health and safety and other workplace risks.

Related thinking

Regulatory & Compliance| 19 Apr 2024

The Times They Are A (slightly) Changin’: release of proposed ASX Corporate Governance Principles and Recommendations (5th edition)

The ASX Corporate Governance Council released a consultation draft, which is open for feedback until 6 May 2024. We outline key changes to be aware of.

Regulatory & Compliance| 14 Mar 2024

Reminder: is your cleansing notice compliant with the Corporations Act?

We have observed in the market some listed companies are continuing to use outdated templates to prepare their cleansing notices, making them technically non-compliant with the Corporations Act.

Regulatory & Compliance| 04 Dec 2023

ASIC’s enforcement priorities for 2024 – licensees beware

ASIC is continuing its ambitious objective of taking more extensive enforcement action in 2024, with Deputy Chair Sarah Court describing a ‘proactive, strategic and bold approach to enforcement’.

Regulatory & Compliance| 20 Nov 2023

New sustainable finance strategy: what you need to know

We highlight the key implications financial market participants should be aware of.