imac legal & compliance provides legal and compliance services to small and medium-sized financial services and other commercial businesses. Practical, intelligent solutions based on years of experience. Highly competitive rates and friendly, responsive solutions.
We typically deal with the following types of financial services businesses:
- Financial Advisers/planners.
- Risk advisers.
- Dealer groups.
- AFS licensees & authorised representatives.
- MDA operators.
- Credit licensees (inc mortgage & finance brokers).
- General insurance businesses (inc brokerages).
- Fund/asset managers.
- Platform operators/trustees.
- Insurers (life and g.i.).
- Miscellaneous other financial services businesses.
We provide the following to financial services businesses:
- Legal and compliance advice on all aspects of setting up and running a financial services business, including Chapters 5C & 7 of the Corporations Act (including FOFA), National Consumer Credit Protection Act, Credit Act, Tax Agents Services Act, AML/CTF, Privacy, etc.
- Compliance consulting, reviews and advice (inc risk & compliance framework reviews, advice file reviews).
- AFSL/ACL Applications and variations.
- Licensee reviews.
- Independent expert reports.
- Commercialising Fintech ideas.
- Legal signoff for marketing materials.
- Breaches – advice and assistance.
- Accountants licensing.
- Independent representation on Boards and Committees (e.g. Risk/compliance committee, audit committee, investment committee).
- Compliance policies & procedures – templates, reviews, drafting.
- Dealing with regulators (e.g. working with enforceable undertakings, surveillances).
- Agreements – negotiating, reviewing, drafting. E.g. confidentiality agreements, client transfer agreements, service level agreements, authorised representative agreements, promoter agreements, distribution agreements.
- Commercial advice – we ‘know the field’ and can help with buying, selling and managing your financial services business. We can help you protect and commercialise your offerings.
- Need a temporary legal or compliance resource? We can help.
- Regulatory documents (e.g. FSGs, credit guides, PDSs, Managed Discretionary Account (MDA) documents, fund constitutions) – drafting, reviewing, due diligence signoff.
- Novel businesses, license applications, relief applications.
Commercial (business) law
We advise all types of small and medium-sized businesses on the following matters:
- Trade practices
- Contracts (including reviewing, negotiating, drafting)
- Intellectual property
- Risk management consulting
- Advice to commercialise your product/service
Doing a deal? imac can help you negotiate and document the arrangements to best help you achieve your objectives while effectively identifying and mitigating risks
Got a dispute? We have a lot of success resolving disputes before they get to court. Indeed, our goal is to help keep our clients out of court