Regulatory compliance and action

At Prestige Legal & Corporate Services, we are committed to providing our business clients with practically focused compliance advice and solutions that are responsive to their individual needs and the industries and systems of regulation in which they operate.

We have a demonstrated track record in assisting our clients in the development and implementation of effective and efficient compliance systems, policies and procedures across a diverse range of industries and sectors.

Our services in regulatory compliance include:

advice and representation regarding ASIC, ATO, ACCC and Department of Fair Trading examinations, investigations, enforcement action and prosecutions

review and preparation of corporate authorised representative (CAR) and authorised representative (AR) agreements

Australian Financial Services Licence (AFSL) applications and compliance

advice regarding ASX Listing Rule compliance and liaison with the ASX and ASIC

compliance reviews

compliance training

managed investment schemes

compliance framework development and enhancement

For specialised and expert legal advice and representation in the area of regulatory compliance and action, contact us or enquire now today.