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Finance Law and Banking Law

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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.

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

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

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

The concept of unconscionable conduct has, in recent times, been increasing in prominence, both as a regulatory enforcement tool...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

And the record greenwashing penalty goes to…

Australia Finance

HN

Holley Nethercote

The global impact of derivatives: Why trade reporting matters more than ever

Worldwide Finance

TRAction

Reminder: Daylight saving time for New York starts this weekend

Worldwide Finance

TRAction

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

Private credit obligations – ASIC guidance

Australia Finance

SG

Sophie Grace Pty Ltd

The anatomy of a regulation

Worldwide Finance

TRAction

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

Australia Finance

CC

Corrs Chambers Westgarth

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Webinars

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Recorded on 20 Jan 2026 | 3:00 PM

2026 Canadian In-House Counsel Report: Unparalleled Insights into Canada's In-House Profession from CBA In-House Lawyers

TC

CBA In-House Lawyers

Recorded on 9 Jul 2025 | 2:00 PM

Digital Assets – Innovation vs Compliance: Emerging Offshore Jurisdictional Trends – How Legal Advisers' Roles Will Change

W

Walkers

Recorded on 24 Jun 2025 | 3:00 PM

(2nd Session) 2025 Global In-House Counsel Survey Report: Unique Insights into the Global In-House Counsel Profession

IC

In-House Counsel Worldwide

Recorded on 24 Jun 2025 | 9:00 AM

(1st Session) 2025 Global In-House Counsel Survey Report: Unique Insights into the Global In-House Counsel Profession

IC

In-House Counsel Worldwide

Related Country Guides

Alternative Investment Funds

Debt Capital Markets

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

Unconscionable Conduct Under The Spotlight: What Businesses Need To Know

The concept of unconscionable conduct has, in recent times, been increasing in prominence, both as a regulatory enforcement tool...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

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

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

Australia Finance

CC

Corrs Chambers Westgarth

Can A Holding Company Be Liable For Its Subsidiary's Debts?

Australia Finance

SL

Stonegate Legal

Global Bank Review 2025

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

When Caution Becomes Commitment: Lessons From The Mayne Pharma MAC Decision

Australia Finance

BP

Bennett & Philp Lawyers

Virtual Power Purchase Agreements (VPPAs)

Worldwide Finance

TRAction

Private Debt Surges Past $224 Billion, Marking A New Era Of Financial Momentum In Australia

Australia Finance

AM

Alvarez & Marsal

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Fund Finance

And the record greenwashing penalty goes to…

Greenwashing refers to the misrepresentation of a financial product or investment strategy as "environmentally friendly", "sustainable" or "ethical".

Australia Finance

HN

Holley Nethercote

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 - 23 January 2026

On 20 January 2026, ASIC published Report 828 following a review in relation to the contracts for difference (CFD) sector. ASIC found widespread compliance weaknesses in a number of areas...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Funds Update - 9 January 2026

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Another 12 Months Extension For FFSP AFSL Exemptions

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

How do the end of year holidays affect your trade reporting?

Worldwide Finance

TRAction

Virtual Power Purchase Agreements (VPPAs)

Worldwide Finance

TRAction

LEI Status Requirements – Which May Lapse, And Which Require Renewal?

Worldwide Finance

TRAction

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Asset Finance

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

This decision confirms that section 444GA can be utilised to achieve a transfer of shares in circumstances where the transaction provides for value to be paid to shareholders.

Australia Finance

CC

Corrs Chambers Westgarth

ASIC enforcement – Responsible lending

Court found that Money3 failed to make reasonable inquiries about the living expenses of the consumers, including failing to verify their living expenses.

Australia Finance

SG

Sophie Grace Pty Ltd

Australian Sustainable Finance Taxonomy: Market Insights From World-first Pilot Program

Australia is testing the Taxonomy in practice with some of the country's largest financial institutions.

Australia Finance

CC

Corrs Chambers Westgarth

Is XAU/USD Classed As FX Or Commodity For Reporting?

Australia Finance

TRAction

A guide to lender securities in Australia - What borrowers & lenders need to know

Australia Finance

BP

Bartier Perry

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

Australia Finance

HN

Holley Nethercote

ASIC floats IPO reforms to revitalise public markets

Australia Finance

CG

Cooper Grace Ward

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

Australia Finance

TRAction

Embracing Arbitration For Australian Financial Services Disputes

Australia Finance

CC

Corrs Chambers Westgarth

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Securitization & Structured Finance

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

Regulatory and market developments in the US residential mortgage-backed securities space often make their way into the Australian market

Australia Finance

MB

Mayer Brown

Blackbird Swoops In Effort To Extinguish Secured Creditor's Rights Under DOCA

This case is a reminder that creditors should carefully identify and assess any restrictions imposed on enforcement of security interests under a DOCA.

Australia Finance

CC

Corrs Chambers Westgarth

Case note: Synergy Construct Australia Pty Ltd v GSA North Terrace Pty Limited ATF GSA North Terrace Unit Trust [2025] SASCA 72 (Synergy)

The decision serves as a case study of the circumstances when a principal can make a claim in relation to bank guarantees provided as security.

Australia Finance

P

PCL Lawyers

A Bad Weekend for Deemed Service: Roberts Co (NSW) Pty Ltd v Sharvain Facades Pty Ltd (Administrators Appointed)

Australia Finance

PA

Piper Alderman

LEI Status Requirements

Worldwide Commercial

TRAction

FSG relief – what's in it for me?

Australia Finance

HN

Holley Nethercote

Victorian Government endorses recommendations to amend Security of Payment Act

Australia Real Estate

CC

Corrs Chambers Westgarth

A step-by-step guide to Facility Agreements—Part 1

Australia Finance

MC

McMahon Clarke

FAR-Reaching Reforms On Track To Expand BEAR

Australia Finance

JD

Jones Day

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Latest Videos

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Mortgagee in possession?

CP

Cathro & Partners

The Sophie Grace Portal is now live! ACLs - Do you need an ACL?

SG

Sophie Grace Pty Ltd

Signing loan documents electronically

BP

Bennett & Philp Lawyers

It Depends: What documents do I need to pay a pension from my SMSF?

CG

Cooper Grace Ward

Streaming series | Intercreditor arrangements

NR

Norton Rose Fulbright Australia

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