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The Financial Services team at Clarendon Lawyers has extensive experience in advising a variety of fund managers, superannuation trustees, insurers, brokers, financial planning groups and others in the financial services industry.
We are committed to providing sound and cost effective advice and transactional support to the financial services industry. Our creative legal solutions help our clients to achieve their goals, resolve disputes, minimise compliance costs and manage their risks in a complex regulatory framework. Clarendon Lawyers is in the unique position to fully support its financial services clients.
Together with our Mergers & Acquisitions team we can assist fund managers and superannuation trustees with their private equity and other investment activities. And our Commercial and Taxation assist with general commercial needs and advise on structuring, product development and transactional matters.
Our areas of expertise include:
Funds management & superannuation
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fund reconstruction and benefit design changes
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fund transfer advice
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fund mergers and rationalisations
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acquisition of management rights
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due diligence
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product and ongoing disclosure
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review of promotional material and websites
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unit pricing policies and error management
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all RSE licensing requirements
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complaints handling, FICS and SCT matters SMSF related advice, establishment and operation
Australian financial services laws
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licence applications including strategic and structuring
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advice strategic and efficiency reviews of quality assurance and compliance frameworks advice on both legal obligations and risk management considerations
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relief and no-action letter applications
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breach notifications mock surveillances
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training for boards, responsible managers, representatives and employees
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management of external dispute resolution matters
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implementation of industry standards
Governance
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board effectiveness evaluations
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advice on conflicts management
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new director induction program, professional development program and CEO succession plans
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consideration of the board reporting function and the reliability of the information presented
Regulatory affairs and compliance
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advice on financial services related anti-money laundering, privacy, trade practices and trademark laws
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management of surveillances and enforcement actions
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technical assistance with regulatory and government relations for law reform
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implementation of FPA industry standards
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implementation of Australian Standards
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