Vintage Financial Services Lawyers providing a range of specialised financial services including establishing a Financial Services Business, providing financial services advice, preparation of financial services agreements as well as offer financial services litigation and dispute resolution support.
Establishing a Financial Services Business
Vintage Financial Services Lawyers can provide you with legal advice on the different business structures (eg individual, partnerships, corporation or trustee of a trust) available when applying for an Australian Financial Services Licence (AFSL) and assist you with establishing your new financial services business.
Our Financial Services Lawyers can also assist you to apply for, or vary, your AFSL and specifically tailor policies and procedures in accordance with the nature, scale and complexity of your business to satisfy your general obligations under Chapter 7 of the Corporations Act 2001 (Cth).
Financial services advice
Vintage Financial Services Lawyers provide advice to AFS Licensees concerning their general obligations under Chapter 7 of the Corporations Act 2001 (Cth), the impact of the Future of Financial Advice (FOFA), compliance issues and breach reporting. We can also provide you specific advice in relation to your legal obligations under the Australian Securities and Investments Commission Act 2001 (“ASIC Act”), Competition and Consumer Act 2010, Privacy Act 1988 and Anti-Money Laundering and Counter-Terrorism Financing Act 2006.
Preparation of Financial Services Disclosure Documents
Our Financial Services Lawyers can assist you with the preparation of the following disclosure documents:
- Statement of Advice (SOA)
- Statement of Additional Advice (SOAA)
- Record of Advice (ROA)
- Financial Services Guide (FSG) disclosures
- Product Disclosure Statements (PDS)
Financial Services Agreements
Our Financial Services Lawyers can provide you with the following financial services agreements:
- Dealer Agreements
- Corporate Authorised Representative Agreements
- Authorised Representative Agreements
- Subcontractor Agreements
- Managed Discretionary Account (MDA) Agreements
- Referral Agreements
- Employment Agreements
Financial Services Litigation and Dispute Resolution
Our Financial Services Lawyers can also assist AFS Licensees and its representatives by strategically managing the following:
- ASIC notices
- Enforceable Undertakings
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