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.

The Paradox Of Progress: How A Decade Of Financial Reform Created Both Clarity And Complexity

Australia's financial sector has experienced significant transformation over the past decade through comprehensive regulatory reform, but regulatory clarity doesn't always create operational simplicity.

Australia Finance

FC

FTI Consulting

Avoiding Trade Reporting Penalties

Main focus for reporting entities should be on prompt and accurate reporting and notification of errors or issues with their trade reporting to their regulators.

Australia Finance

TRAction

Retail vs Wholesale Clients – Regulatory Concerns and Responses

Regulatory issues and concerns which have arisen with the current legal definitions of wholesale and retail clients under the Corporations Act 2001.

Australia Finance

HN

Holley Nethercote

APAC Monthly Private Wealth Legal Developments – July 2025

ASIC has published a consultation on proposed updates to its Regulatory Guide 181: Licensing – Managing conflicts of interest, which provides guidance on how Australian financial services...

Worldwide Finance

KL

Herbert Smith Freehills Kramer LLP

Beneath The Surface: Making Up The Deficit - The Critical Minerals Strategic Reserve And Australia's Unrealised Critical Minerals Production Potential

Australia Government

KL

Herbert Smith Freehills Kramer LLP

Funds Update - 15 August 2025

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Reporting Transactions under EMIR, MiFIR and SFTR Seamlessly

Australia Finance

TRAction

Are you Providing Sufficient Notice to Clients Regarding Authorised Representatives or Credit Representatives Leaving?

Australia Finance

SG

Sophie Grace Pty Ltd

Financial Advisers – Check FAR Details

Australia Finance

SG

Sophie Grace Pty Ltd

Changes Ahead For Australia's Payments Sector: The RBA Proposes To Ban Card Surcharging

Australia Technology

KG

K&L Gates LLP

MiFID reporting remediation tips and traps – FCA's Market Watch 82

Australia Finance

TRAction

Mission impossible? Cybersecurity and privacy for AFS licensees

Australia Finance

HN

Holley Nethercote

ASIC set to review debt management and credit repair services

Australia Finance

SG

Sophie Grace Pty Ltd

What You Need To Know About Buying And Selling A Financial Or Credit Services Business

Australia Finance

SG

Sophie Grace Pty Ltd

How A Cybersecurity Investigation Uncovered The Root Cause Of A Ransomware Breach

Australia Technology

FC

FTI Consulting

Immigration And Australian Federal Election Campaign Promises

Australia Immigration

IL

Interstaff Immigration Agency

It depends – Trust vesting

Australia Commercial

CG

Cooper Grace Ward

New English Language Requirements For Australian Visas

Australia Immigration

RM

Roam Migration Law

Dismissal upheld: employee breaches employer's directions while recovering from illness

Australia Employment

CG

Cooper Grace Ward

Lessons From Lifeplan: How Forensic Experts Bolster Legal Strategy

10 years on, FTI Consulting's work on the Lifeplan Australia Friendly Society Ltd case against two of Lifeplan's former employees and the Ancient Order of Foresters in Victoria Friendly Society Limited still offers rich and relevant insights into the intersection of forensic expert evidence and legal strategy.

Australia Litigation

FC

FTI Consulting

June 2025 ESG Policy Update—Australia

The Australian Securities and Investments Commission (ASIC) has published its financial reporting and audit focus areas for the 2025-26 financial year.

Australia Strategy

KG

K&L Gates LLP

APAC Monthly Private Wealth Legal Developments – June 2025

ASIC has provided Australian financial services and credit licensees additional targeted relief under the reportable situations regime in response to feedback from industry.

Worldwide Wealth Mgt

KL

Herbert Smith Freehills Kramer LLP

Funds Update - 18 July 2025

On 9 July 2025, ASIC released Simple Consultation 22: Proposed update to ASIC's guidance on Product Disclosure Statements (PDSs), inviting industry feedback on proposed revisions...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Ban on conflicted remuneration for mortgage brokers and intermediaries – here to stay

Australia Finance

HN

Holley Nethercote

ASIC's Recent Enforcement Action relating to Finfluencers

Australia Commercial

SG

Sophie Grace Pty Ltd

Breach Reporting In Financial Services And Application To Offence Provisions: Are You Over-Reporting?

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

The Regulatory Developments For FY25 That Fund Managers Can't Afford To Ignore

Australia Finance

KG

K&L Gates LLP

The big issue with issuing – Can it be done without holding an AFSL?

Australia Finance

HN

Holley Nethercote

A View On The 2025/26 New South Wales, Queensland And The Australian Capital Territory Budgets

AM

Alvarez & Marsal

May 2025 ESG Policy Update—Australia

Australia Commercial

KG

K&L Gates LLP

ASIC floats IPO reforms to revitalise public markets

Australia Finance

CG

Cooper Grace Ward

ASIC Trialling Fast-Tracked Initial Public Offerings

Australia Commercial

KG

K&L Gates LLP

Practical implications for authorised representatives of ASIC v BPS Financial appeal decision

Australia Finance

CC

Corrs Chambers Westgarth

May 2025 ESG Policy Update—Australia

On 3 May 2025, the incumbent Labor government, led by Prime Minister Anthony Albanese, won re-election to a second consecutive term in office.

Australia Commercial

KG

K&L Gates LLP

ASIC floats IPO reforms to revitalise public markets

Australia's public markets must continue to evolve to remain competitive on the global stage.

Australia Finance

CG

Cooper Grace Ward

ASIC Trialling Fast-Tracked Initial Public Offerings

On 10 June 2025, the Australian Securities and Investment Commission (ASIC) announced that it was commencing a two-year trial of a fast-tracked initial public offering (IPO) process (Fast-Track Process).

Australia Commercial

KG

K&L Gates LLP

Practical implications for authorised representatives of ASIC v BPS Financial appeal decision

Practical implications of recent decision for fund managers & the broader financial services industry.

Australia Finance

CC

Corrs Chambers Westgarth

Who's in control? Changes of control to a licensed entity and your obligations

Australia Finance

HN

Holley Nethercote

What to do when the derivative instrument's underlier has no ISIN under EMIR

This article discuss how to populate the ISIN.

Australia Finance

TRAction

LEI Status Requirements

The regimes differ in terms of specific validation rules and action types, even though field names may be similar in some cases.

Worldwide Commercial

TRAction

Combatting Payment Account Fraud: Australia's Scams Prevention Framework

On February 13, 2025, Australia passed legislation implementing its Scams Prevention Framework (SPF) aimed at protecting Australian consumers from scams.

Australia Finance

AO

A&O Shearman

CFO Strategies: 2025 CFO Report – Australian Deep Dive

The CFO's role has shifted beyond traditional financial stewardship, becoming more strategic in navigating technological advancements, economic challenges and evolving business models.

Australia Finance

FC

FTI Consulting

Embracing Arbitration For Australian Financial Services Disputes

Australia Finance

CC

Corrs Chambers Westgarth

Lenders charging over 48% cap

Australia Finance

SG

Sophie Grace Pty Ltd

Block earner triumphs in ASIC appeal

Australia Technology

PA

Piper Alderman

Mergers And Acquisitions In Australia In 2025

Australia Commercial

KG

K&L Gates LLP

Are you breaching the anti-hawking provisions?

Australia Finance

SG

Sophie Grace Pty Ltd

ASIC Issues Warning over Dodgy Cold Calling Operators and Online Baiting Tactics

Australia Finance

SG

Sophie Grace Pty Ltd

The Regulation Of Private Markets In Australia—Where To Next?

Australia Finance

JD

Jones Day

2023: Doing Business In Australia

Australia Government

WL

World Law Group

Yes, crypto currency is personal property!

Australia Finance

CG

Clifford Gouldson Lawyers

2025 Banking Code of Practice - key changes affecting lenders and borrowers

Australia Finance

BP

Bartier Perry

Shenkman Capital Management, Inc. partners with TRAction

Australia Finance

TRAction

ESMA's assessment of the MiFID Trade Reporting Framework

Australia Finance

TRAction

Business introduction services - relief expiry

Australia Finance

SG

Sophie Grace Pty Ltd

AUSTRAC enforcement action – DCE dealer and remittance providers

Australia Finance

SG

Sophie Grace Pty Ltd

Australian Mandatory Merger Clearance: Regime Details Starting To Emerge – Government Publishes Draft Determination, ACCC Publishes Draft Guidelines

Australia Anti-trust

KG

K&L Gates LLP

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Latest Videos

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Insights into the Australian Economic Environment in 2023

CP

Cathro & Partners

Monitoring your Licence Number through Google Alerts

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

Foreign bank activity on Australian shores

D

DibbsBarker

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