Regulatory and Governance

MinterEllison’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).

16 November 2015

In this article partner John Mosely and senior associate Cynthia Li examine Australian law and practice in the debt funding of public company takeovers.

1 April 2014

The Corporations and Markets Advisory Committee (CAMAC) has released a broad discussion paper to review the establishment and management of schemes, which opens up all aspects of the legislative structure. This is a continuation of the review which produced the CAMAC July 2012 Report, and may provide a useful indication of the issues that the Financial System Inquiry will consider in relation to managed investment schemes.

29 May 2013

Minter Ellison is at the forefront of developments in the complex, dynamic and highly regulated financial services sector. Our financial services team members are active participants in key services industry associations, contributing to the policy debate and providing input on regulatory change. Here, some of our leading practitioners analyse and comment on the latest tranche of regulations, proposed reforms and reports that are laying the foundations for a stronger financial services sector in Australia.

19 April 2013

The Personal Property Securities Act 2009 (Cth) and new legislative regime governing security interests in personal property have presented an interesting challenge to our clients and the broader legal community. In this update we discuss the key practical issues facing businesses operating under the new regime and provide tips on how to deal with them.

18 March 2013

New regulations establishing governance standards for entities registered with the Australian Charities and Not-for-profits Commission (ACNC) have now been finalised (subject to parliamentary procedural requirements). Entities that are registered charities are automatically registered at the ACNC. Registered charities and not-for-profits (NFP) should now treat the regulations as having full effect.