Investment Law for Industry

 

Investment Law For Investment Advisers, Financial Planners and other holders of Australian Financial Services Licences

O’Shea Lawyers can assist you with:

  • All documents required under the Corporations Act including Credit Guides and Statements of Advice.
  • Compliance and training on the Future of Financial Advice reforms, Privacy Act  and the Financial Transactions Reports Act, the Anti-Money Laundering and Counter-terrorism Financing Act (AML/CTF).
  • Applications or variations to your Australian Financial Services Licence.
  • Responding to statutory notices from ASIC.
  • Responding to complaints by investors
  • Internal Dispute Resolution
  • External Dispute Resolution with the Financial ombudsman Service and Credit Ombudsman Service Ltd.
  • External Compliance reviews for ASIC licence conditions

Paul O’Shea is one of Australia’s leading financial services lawyers. Frequently consulted by government and by ASIC on financial services law and policy, he has also published widely in this field. A member of the Financial Ombudsman Service Investment, Life Insurance and Stockbroking Panel, Paul O’Shea is well placed to advise you on how to avoid complaints from your clients and how to deal with them if they come.