INVESTIGATIONS & ENFORCEMENT PROCEEDINGS.
INVESTIGATIONS & ENFORCEMENT PROCEEDINGS.
INVESTIGATIONS & ENFORCEMENT PROCEEDINGS.
You’ve discovered something that might be a significant breach. Should you report it? Or wait until you fix it? What information do you need to provide?
Maybe ASIC has knocked on your door. Or asked you to provide information about your business. Have they sent you documents you are nervous about? Will ASIC investigate you? How bad is it? What else should you be looking for? Will they cancel your licence? Will they shut you down?
Take a deep breath. Don’t panic!
SOME OF THE WAYS WE HELP OUR CLIENTS.
- Breach Notifications
- ASIC Production Notices
- Negotiating Licence Conditions and Enforceable Undertakings
- Defending ASIC proceedings
- Appointed as Compliance Consultant
- ASIC Experts Reports
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The Fold's frank take on issues affecting the financial services industry.
The Fold Legal Pty Ltd is excited to announce that we have officially joined Hamilton Locke, Australia’s fastest-growing commercial law firm, from 1 September 2022.
Contracts for Difference are back in the firing line with ASIC recently flexing their product intervention order powers, extending already strict conditions placed on CFD commodities.
We are delighted to announce that leading industry publication, Australasian Lawyer, has recognised The Fold Legal as a leading boutique firm in their 2022 Top Boutique Firms list.
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