Expert Guidance for Australian Securities Law & Corporate Fundraising

Our comprehensive legal services are designed to support Australian businesses navigating the complex and highly regulated landscape of securities and corporate law. We provide strategic advice and hands-on support to ensure your operations are fully compliant with Australian regulations, giving you the confidence to grow.

Our core services in this area include:

Australian Financial Services (AFS) Licensing

• Licence Acquisition and Compliance: We provide end-to-end support for obtaining and maintaining your Australian Financial Services Licence (AFSL). Our services include preparing and submitting applications to the Australian Securities and Investments Commission (ASIC), ensuring all documentation meets regulatory standards, and liaising with the regulator to streamline the approval process.
• Ongoing Compliance and Support: After securing a licence, continuous compliance is critical. We offer regular compliance audits, provide updates on regulatory changes, and advise on best practices for risk management, staff training, and conflict of interest policies to ensure you meet your ongoing obligations.
• Regulatory Liaison: We manage your interactions with regulatory bodies, ensuring that any changes in your business operations are reported promptly and accurately. This includes applying for licence variations and ensuring all compliance measures are up to date to avoid penalties.

Prospectuses and Capital Raising

• Prospectus Drafting and Vetting: We specialise in creating and reviewing prospectuses and other disclosure documents for capital raising. We ensure your documents are fully compliant with the Corporations Act 2001 and meet the requirements for both sophisticated and retail investors.
• Ensuring Investor Confidence: Our expertise ensures your disclosure documents are clear, accurate, and legally robust, helping you build and maintain the trust of investors while mitigating your legal risk.

By providing comprehensive support from initial licensing to ongoing compliance and capital raising, we help Australian businesses thrive. Our expertise ensures that your business remains compliant, efficient, and well-positioned to meet the challenges of the financial services industry.