Regulatory Solutions

Hamilton Blackstone Lawyers has delivered timely and commercially-centric legal and compliance solutions to some of the country's leading financial services providers, large and small. We're experts on ASIC regulation and AFSL compliance.

So what makes us different? What makes us better?

Most importantly, we don't take a "checklist" or "check box" approach to financial services licensing and compliance, like most providers do. We provide compliance solutions by reference to the licensee's risk appetite, likely regulatory risk, and corporate culture.

Legal and/or compliance reviews should not be the product of a "one size fits all" approach. Every organisation is different. Each organisation has its own risk profiles, tolerances, and appetites on key measures. Accordingly, a review should be tailored with that organisation’s risk metrics at the core.

 

In our experience, an approach to regulation and compliance which is contextualised by reference to such matters resonates very favourably with the boards of licensees, which are demonstrably keen to ensure that their financial services businesses are being conducted with the organisations’ risk imperatives front of mind. Compliance reviews which traditionally adopt a "checklist" approach to the issues and focus on the "black letter law" are generally found to have less probative and qualitative value.
 

Also, financial services compliance is only as effective as the compliance culture within the organisation and how successfully its key personnel can foster an effective compliance culture, in which there is "buy in" from all. What works for one licensee might be too heavy handed for another, for example.

Our Managing Director is a respected industry advocate, having close ties with APRA, ASIC, the FPA and the FSC. We have achieved significant outcomes when representing licensees’ interests at an industry level.

We can provide testimonials and arrange reference checks with those licensees for whom we've provided significant compliance solutions.

Please take a moment to read our Capability Statement, which includes summaries of significant transactions and milestones achieved in recent years.

We welcome the opportunity to work with you and to become a trusted part of your business.

© 2020 Hamilton Blackstone Lawyers Pty Ltd

ABN 42 164 428 782

Liability limited by a Scheme approved under Professional Standards Legislation.