Regulatory and Governance

Minter Ellison’s regulatory team advises clients across a broad range of regulatory issues including the establishment and licensing, disclosure and distribution, and ongoing compliance with regulatory obligations across all types of financial products and services, including superannuation, insurance and managed funds.

Our long-term involvement with financial institutions and acting for ASX listed companies, together with active contributions to industry bodies such as the Financial Services Council (FSC), enable us to readily identify risks and opportunities for clients and to provide successful and practical outcomes in their regulatory environments.

We have an intimate knowledge of the complex provisions affecting institutional investors, including requirements of the Corporations Act, ASX Listing Rules and the anti-money laundering and counter-terrorism financing (AML/CTF) laws.

We have been at the forefront of many recent regulatory changes, including the Managed Investments Act, the Financial Services Reform Act, various Corporate Law Economic Reform Program (CLERP) changes, executive remuneration, unfair contracts, and the introduction of AML/CTF legislation.

Our experience has grown from working for a variety of clients across the industry and through our work with industry associations – this enables us to provide clients with a unique and practical insight not only on myriad overlapping legal requirements and their inter-relationship but also about the practical implications of those requirements and the practice of the industry and regulators.

We frequently advise and act on behalf of clients in negotiations with the Australian Securities and Investments Commission (ASIC), the Australian Prudential Regulatory Authority (APRA), the Australian Securities Exchange (ASX) and the Australian Taxation Office (ATO).