Allens

Financial
Services Regulation

Understanding the opportunities and navigating the legal frameworks of distributed ledger technology and blockchain

Special Report: Authored by a multidisciplinary team from Allens, Blockchain Reaction is designed to assist business stakeholders, decision makers and in-house counsel across a variety of sectors to understand the technology and how it is being used, as well as navigate the regulatory and legal opportunities and challenges.

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FSI

a global perspective

Watch Matthew McLennan speak to Partners Gavin Lewis from Hong Kong and James Warnot from New York about what has been happening overseas in financial services regulation – including how global regulators are working together to coordinate investigations, as well as a discussion of 'compliance culture'.

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Financial Services Regulation (FSR) in Australia provides the framework for a single licensing and disclosure regime for financial services providers.

It also provides a uniform scheme for financial products markets and clearing and settlement facilities. It covers most financial services and products.

FSR can apply to off-shore financial services providers, even if their connection with Australia seems very limited.

While the stated objectives of the FSR laws are simple, FSR is a complex and technical area and the laws are undergoing constant review, often resulting in changes to how financial products and services are regulated.

Allens cross-practice Financial Services Regulatory team includes experts from a range of practices within that the firm that advise clients with funds, super, wealth, insurance or banking businesses on regulatory issues that impact their business life-cycle from licensing, product development, distribution and marketing to regulatory compliance. We regularly advise Australian and international clients on regulatory investigations and disputes and have particular expertise in advising on Financial Services Regulatory issues involved in M&A transactions.

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