Australia: Financial Services

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Finance law and banking law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics such as capital adequacy, BASEL, acquisition finance, debt capital markets, fund finance, islamic finance, securitization and structured finance.

A Perfect Storm For Australian SMEs: Fuel Costs, Interest Rates And ATO Debt Squeezing Margins In 2026

The escalating conflict in the Middle East has sent crude oil prices surging to levels not seen since 2022, following strikes on Iran and the near-closure of the Strait of Hormuz...

Australia Insolvency

CP

Cathro & Partners

Licensing At Sophie Grace: Review Of Recent Activity

For AFS Licensing, Sophie Grace submitted a total of 74 applications to ASIC (either for new businesses looking to obtain an AFS Licence or for existing AFS holders looking to vary their licence).

Australia Finance

SG

Sophie Grace Pty Ltd

Preventing Licence Cancellations And Suspensions

For many financial services and credit businesses, holding an Australian Financial Services Licence (AFSL) or Australian Credit Licence is fundamental to operating lawfully in Australia.

Australia Finance

SG

Sophie Grace Pty Ltd

Funds Update - 6 March 2026

Treasury's consultation on proposed reforms to enhance the oversight and governance of managed investment schemes (MISs) following the high-profile collapse of the Shield and First Guardian funds...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Unconscionable Conduct Under The Spotlight: What Businesses Need To Know

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

And the record greenwashing penalty goes to…

Australia Finance

HN

Holley Nethercote

Funds Update - 20 February 2026

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

AFS Licensees On Notice – Serious And Repeated Failures Can Lead To Cancellation Of Your AFSL

Australia Finance

SG

Sophie Grace Pty Ltd

AFCA updates its response guide for claim delay complaints

Australia Finance

BN

Barry Nilsson

Private Credit – Recent regulatory interest and lessons for fund managers

Australia Finance

SG

Sophie Grace Pty Ltd

Cybersecurity Enforcement Intensifies: Lessons From FIIG Securities' $2.5m Compliance Penalty

Australia Finance

CC

Corrs Chambers Westgarth

The anatomy of a regulation

Worldwide Finance

TRAction

Private credit obligations – ASIC guidance

Australia Finance

SG

Sophie Grace Pty Ltd

First ASIC Penalty For Cybersecurity Failures: Federal Court Imposes $2.5m Penalty On FIIG

Australia Technology

KL

Herbert Smith Freehills Kramer LLP

Insights into purchasing creditor claims in an Insolvency process with Mitch Taylor

Australia Insolvency

CP

Cathro & Partners

How Psychosocial Safety Now Sits At The Heart Of Workforce Change

Australia Employment

IL

Ius Laboris

Essential ESG: Episode 26 – Insights From The 2025 UN Forum On Business And Human Rights

Australia Environment

CC

Corrs Chambers Westgarth

Michael Byrnes discusses the Westpac WFH case on 2SM with Tim Webster

Australia Employment

S

Swaab

Podcast: SMSFs With CGW – What Is Happening With Division 296 Tax? (Tax On Large Superannuation Balances)

CG

Cooper Grace Ward

Non-concessional MIT income: is your staple ready for life without relief?

This article outlines the implications of the transitional relief ceasing to apply from 1 July 2026 and identifies the matters that entities should consider in anticipation of operating outside the transitional regime.

Australia Finance

CC

Corrs Chambers Westgarth

Funds Update - 6 February 2026

On 30 January 2026, Moshinsky J of the Federal Court of Australia published the reasons for judgment in the most recent design and distribution obligations...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

A Pre-Christmas Update From ASIC: New RG 181 And What AFSL Holders Need To Know

The revised ASIC guide materially expands the conflicts management obligation & sets out clearer, principles-based guidance for AFSL holders.

Australia Finance

HR

Holding Redlich

Asic Rep 828: the risks of running a retail CFD business

ASIC's REP 828 notes improved CFD compliance but flags continued scrutiny of monitoring, data use, product risk, wholesale classification & distribution oversight.

Australia Finance

HN

Holley Nethercote

Liquidity provider agreements and trade reporting – things to take into account

Worldwide Finance

TRAction

Supreme Court grants leave for share and option transfer in landmark section 444GA judgment

Australia Finance

CC

Corrs Chambers Westgarth

ASIC's Key Issues Outlook for 2026

Australia Finance

SG

Sophie Grace Pty Ltd

ASIC's Updated Guidance On Digital Assets

Australia Finance

SG

Sophie Grace Pty Ltd

Issues Raised By ASIC And Their Solutions

Australia Finance

TRAction

Insight Alert: Global FSR Outlook 2026 – The Human Element

Worldwide Finance

KL

Herbert Smith Freehills Kramer LLP

How TRAction's Extraction, Enrichment And Logic Ensure Good Data Lineage

Worldwide Finance

TRAction

Frequently Asked Questions (FAQs) On The Upcoming Commencement Of The AML/CTF Regime For Tranche 2 Entities In Australia

Australia Finance

SG

Sophie Grace Pty Ltd

NSW Expands Surveillance Powers And Introduces Public Interest Protections

Australia Criminal

KG

K&L Gates LLP

ASIC enforcement action: Industry funding levy

Australia Finance

SG

Sophie Grace Pty Ltd

How TRAction's Extraction, Enrichment And Logic Ensure Good Data Lineage

Data lineage is being able to see data from its origin to its end point.

Worldwide Finance

TRAction

Frequently Asked Questions (FAQs) On The Upcoming Commencement Of The AML/CTF Regime For Tranche 2 Entities In Australia

The AML/CTF Regime for Tranche 2 entities takes effect on 1 July 2026.

Australia Finance

SG

Sophie Grace Pty Ltd

NSW Expands Surveillance Powers And Introduces Public Interest Protections

The NSW Government has announced legislative reforms that will enhance the surveillance powers of investigative agencies including NSW's Independent Commission Against Corruption (ICAC).

Australia Criminal

KG

K&L Gates LLP

ASIC enforcement action: Industry funding levy

ASIC cancelled two Australian Financial Services Licences for failing to pay industry funding levies. Both were more than 12 months overdue.

Australia Finance

SG

Sophie Grace Pty Ltd

Complaints data reporting to ASIC

Australia Finance

SG

Sophie Grace Pty Ltd

Funds Update - 9 January 2026

Federal Court imposes penalty for not using and reviewing DDO questionnaires...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

AML/CTF Reforms - Tranche 1 Portal

The new AML/CTF Act & Rules will come into effect on 31 March 2026 for all existing Reporting Entities.

Australia Finance

SG

Sophie Grace Pty Ltd

Australian Leveraged Finance In 2025: Market Trends, Structures And Term

Australia's leveraged finance market is ending the year well-positioned to support a hopeful M&A comeback in 2026. Deep Australian/Asia-Pacific demand for risk assets, sizeable private credit firepower...

Australia Finance

AO

A&O Shearman

Funds Update - 19 December 2025

ASIC releases updated Regulatory Guide 181 AFS licensing: Managing conflicts of interest...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

For the second year in a row, AFCA has received more than 100,000 complaints

Australia Finance

SG

Sophie Grace Pty Ltd

How foreign financial services providers can provide services to Australian clients

Australia Finance

SG

Sophie Grace Pty Ltd

Small amount credit contract providers – DDO and ASIC enforcement

Australia Finance

SG

Sophie Grace Pty Ltd

Upcoming publication of complaint data by ASIC

Australia Finance

SG

Sophie Grace Pty Ltd

ASIC enforcement priorities for 2026

Australia Finance

SG

Sophie Grace Pty Ltd

ASIC launches the reportable situations data dashboard

Australia Finance

SG

Sophie Grace Pty Ltd

Another 12 Months Extension For FFSP AFSL Exemptions

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Funds Update - 5 December 2025

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Recent Regulatory And Market Developments In The US That May Affect The Australian RMBS Market

Australia Finance

MB

Mayer Brown

Some Stories Of Genies, Fable And Funk: Regulatory Challenges To Using AI In The Financial Advice Arena

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

A Divorce, A Debt And A Duty: Shao v Crown Global Capital Pty Ltd

Australia Commercial

KL

Herbert Smith Freehills Kramer LLP

Private Credit In Australia: Growth, Opportunity, And What's Next For PE Sponsors

Australia Commercial

KL

Herbert Smith Freehills Kramer LLP

Fourth Time Lucky? The Fourth FFSP AFSL Bill Is Introduced To Parliament

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

ASIC's review of Offshore Service Providers for Australian Financial Services Licensees

Australia Finance

SG

Sophie Grace Pty Ltd

Further Relief For Licensees Under The Reportable Situations Regime

Australia Finance

SG

Sophie Grace Pty Ltd

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Latest Videos

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[Video] Insights into the corporate finance market

CP

Cathro & Partners

[Video] Do I need an AFSL?

SG

Sophie Grace Pty Ltd

It Depends – So my SMSF has paid out my borrowings under an LRBA (Limited Recourse Borrowing Arrangement) - What do I have to do?

CG

Cooper Grace Ward

Breaking Down Barriers – Digital End-To-End Solutions

D

Dentons

CU LAB: Will responsible lending obligations soon apply to retail investors?

CU

Clayton Utz

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