REGULATORY ADVICE.
REGULATORY ADVICE.
REGULATORY ADVICE.
There isn't enough time in the world for us to count all the rules that apply to financial services and credit businesses.
There are Acts, Regulations, Regulatory Guides, Class Orders, ASIC Relief, Cases, Industry Guidelines, Tribunal Decisions, No Action Letters, Info Sheets, Consultation Papers, Codes of Practice... Aaaaagh - enough!
The Fold’s regulatory lawyers have a unique capability for understanding and managing the interplay between your commercial objectives and the regulatory requirements that apply to financial services businesses.
SOME OF THE WAYS WE HELP OUR CLIENTS.
- Navigating the day-to-day requirements of AFSL or ACL
- Complying with AML/CTF
- Complying with privacy, trade practices and spam legislation
- Implementing compliance policies and procedures
The Fold's Manuals
Realising what a challenge it is for businesses to determine what regulation applies to them, we developed The Fold’s Manuals. These business operations manuals synthesise all the rules into guidance, policies and procedures that you can follow.
Our clients call them 'the bible'. We’re not expecting to be walking on water any time soon, but we do know that if you customise them for your business, you’ll have taken ownership of compliance and have a pragmatic compliance management system that will satisfy ASIC.
To see all our compliance manuals, tools and templates, visit our eStore. For more information on what products are right for your business, get in touch - we'd be happy to help.
Training
Responsible Managers Masterclass
Are you sure that your managers have enough knowledge of the AFS or NCCP requirements to keep you on the right side of the regulator?
Our licensing specialists run Responsible Managers Masterclasses for Responsible Managers, compliance managers and indeed any senior manager of a financial services or credit business.
It takes a full day, but includes lots of interactive activities to keep you on your toes. It covers the following areas:
- The Role and Responsibilities of Responsible Managers – what it means to be a Responsible Manager, the qualifications and experience required, responsibilities and overall liabilities involved.
- Regulation in the Financial Services Industry – who are the regulators and what do they do?
- Providing Financial Services – what is a financial or credit service and what compliance and disclosure obligations apply?
- AFS Licensees’ Obligations – an in-depth view of all the regulatory requirements that apply to financial services and credit businesses.
Our Experts
What our clients say
News
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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