Regulatory Response Specialist For Financial Services Licensees

Proactive Legal Solutions to Safeguard Your Business and Reputation

Receive hands-on regulatory expertise integrated seamlessly into your operations. With proactive support, you’re free to focus on your business goals while regulatory complexities are expertly handled.

Confidence and Assurance

With deep expertise in financial services, we cut through the noise to deliver precise, strategic guidance, ensuring effective communication and regulatory response.

Strategic Regulatory Planning

As your fractional in-house counsel, we tailor and implement a plan that gives you back the time to do what you love most - growing your business.

Practical Solutions

Complex issues are simplified into tailored, actionable plans, without unnecessary jargon - to keep your business moving forward.

Turn Your Regulatory Investment Into Your Competitive Advantage

In today’s regulatory landscape, your investment should be a strategic asset that propels your business forward.

You deserve legal counsel that not only safeguards your business but also empowers you to grow with confidence.

At Hamilton Blackstone Lawyers, we believe that true success means being free from compliance burdens, with the clarity and assurance to focus on what you do best.

The Challenge of Growing a Resilient Business in Today’s Regulatory Landscape

Running a successful financial services business requires more than meeting regulatory standards—it’s about finding freedom to innovate and grow.

Your AFSL Compliance and Business Legacy are at Risk

Worrying about compliance and potential ASIC action can leave you uncertain about how to protect your license effectively and compromise your lifestyle and goals.

Cookie-Cutter Advice Could Cost You

You face immense pressure as the CEO to keep your license secure, and you deserve more than just a “Checklist approach.”

Regulatory Issues are Draining Your Resources

ASIC investigations and compliance demands are pulling your key people away from essential business operations.

You Need Early Detection to Avoid Bigger Issues

Uncovering potential risks early is essential to avoid escalation and manage issues before they impact your business.

Legal Costs are Unpredictable

Traditional hourly billing creates financial uncertainty—you're looking for clarity and value in your legal support.

The Pressure You’re Under

We understand the immense pressure that comes with running a business in the highly regulated financial services industry. 

Unlike traditional lawyers who stay distant, we work directly with your board and management, providing tailored solutions that address your specific challenges. 

We don’t just offer “one size fits all” advice—we simplify complex regulatory issues into clear, actionable strategies, helping you navigate risks and maintain compliance with confidence. 

We are renowned for turning the complex into practical solutions, and for finding answers to problems that other law firms have been unable to solve.

Regulatory Guidance and In-House Counsel Services Tailored to Your Needs

Virtual and Fractional In-House Counsel Services

Provision of on-demand legal, company secretarial, and regulatory support through secondments or as a virtual general counsel, tailored to meet the unique needs of financial services licensees.

Legal representation and preparation of submissions in regulatory investigations, and strategic regulatory response.

Full assessments of licensee governance, including board restructuring, committee establishment, and development of policies, manuals, charters, and procedural documents.

Design and implementation of large-scale client review and remediation programs to address compliance issues effectively.

Support with AFSL licensing, variations, additional authorisations, and the appointment/removal of Responsible Managers.

Proactive internal AFSL reviews to support board assurance and attestations.

Thorough assessments of potential acquisitions or appointments to manage and mitigate risk in key business decisions.

A Leading Expert in Financial Services Law You Can Trust

With 20 years as a legal specialist and a reputation as the “lawyer of choice” for financial services industry associations, Hamilton Blackstone Lawyers brings unmatched expertise to safeguard your business. 

We’re trusted by some of the biggest names in the industry and have a proven track record of defending clients’ interests with ASIC. 

Our in-depth understanding of financial services law means we deliver strategic, results-driven solutions when your license and reputation are on the line.

Decades of Experience

With 20 years in financial services law.

Recognised Industry Leader

Regularly invited to speak at masterclasses and educational seminars for financial advisers across Australia.

Proven Results

Exceptional track record in safeguarding clients’ licenses and reputations with ASIC.

Sought-After Advisor

Known as the trusted advisor for several major financial services associations.

Broad Legal Expertise

Widely published in tax, financial services, estate planning, and corporate law.

Fixed Fee and Retainer-Based Pricing

Transparent and predictable pricing models. Manage legal costs effectively. All services protected by legal professional privilege.

How The Process Works

1

Discovery Meeting

Book a Discovery Meeting to discuss your business and key concerns.

2

Get a Tailored Plan

We review your AFSL, corporate structure, risk profile, and past ASIC interactions to create a customised regulatory plan that meets your unique needs and ensures ongoing assurance.

3

Confidently Drive Growth

With your custom solution in place, you’ll have peace of mind to focus on growth, knowing your business is compliant and your license protected.

Uncertainty is for everyone else. With us, you’ll move from doubt to confidence, becoming the trusted leader your clients count on.

Confidence, Stability, and Growth with Your Fractional In-House Counsel

Seamless Regulatory Management
Regulatory needs are managed as part of your team, keeping daily operations smooth and uninterrupted.

Proactive ASIC Inquiry Handling
You avoid escalating risks with a proactive approach to ASIC inquiries, ensuring your business remains protected.

Enhanced Reputation and Trust
With a solid compliance foundation, you attract top talent and strengthen your credibility within the industry.

Strategic Focus on Growth
Regulatory risks are covered, allowing you to direct your attention toward expansion and long-term success.

There’s no need to face the risk of AFSL loss, crippling financial instability, or reputational damage alone.

It’s time to protect your business with specialised fractional in-house counsel and regulatory assurance plans, giving you the confidence and security to operate with complete peace of mind.