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Regulatory.

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Regulatory Advice
 
Investigations & Enforcement
 
Product Development & Distribution

Navigating the complexities of financial services and credit legislation and regulatory compliance can be daunting. Keeping up to date is exhausting. We want to make it easy.

Financial services regulation is The Fold’s core focus and underpins everything we do. Our regulatory lawyers are true specialists. We:

  •   advise on the financial services regulatory regime, including AFSL applications and variations, relief applications, AFS authorisations, structuring and financial requirements, distribution models, complex financial products, AML/CTF, drafting disclosure documents and authorised representative agreements, and providing compliance signoffs.
  •   advise on the credit regime, including ACL applications and variations, drafting credit contracts, hardship policies or consumer leases, developing responsible lending compliant credit policies, and reviewing compliance with AML/CTF requirements or the particular privacy issues for credit businesses. 
  •   support clients in responding to regulatory investigations and enforcement proceedings, including breach notifications, ASIC production notices and compliance with enforceable undertakings.
 

Claire was outstanding in all aspects ...Her connections into ASIC at the highest level ensured our legal pathway was very focused and achieved the outcomes desired.
Imperium Markets, Rod Lane

 
 

They understand fintech businesses and their challenges with scaling. They also understand how to communicate with industry regulators on licencing matters, especially for innovative models that are new to the market.
HashChing, Siobhan Hayden

 
 

The Fold team have a particular expertise with financial services regulation which ALI has relied upon over a number of years to ensure a compliant business practice. We have found the Fold’s advice to be responsive, sound and commercial given their solid understanding of the regulations and how they apply to our business model and operations.
ALI Group, Julianne McKnight

 

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