Financial Services Law
Alfred Hill & Partners advises businesses and professionals operating in regulated financial services environments.
Financial services businesses must manage licensing, disclosure, advice, distribution, representatives, complaints, conflicts, remuneration, records and compliance systems. These obligations can affect the way the business deals with clients, licensees, product providers, referral partners and regulators.
We provide legal support that is careful, commercially aware and informed by the realities of financial services operations.
Our Core Areas
Financial Services Legal Advice
For businesses requiring advice on legal obligations, regulatory risk and service structures.
Advice Business Structures
For businesses establishing or reviewing financial advice, insurance advice or referral models.
Disclosure Obligations
For firms needing documents, disclaimers, client communications or disclosure processes reviewed.
Representative Arrangements
For licensees, authorised representatives, advisers and referral partners dealing with appointment or operating structures.
Client Complaints
For financial services businesses responding to complaints, service issues or disputed advice.
Commission and Remuneration Issues
For businesses dealing with commissions, clawbacks, referral fees or payment disputes.
Regulatory Correspondence
For clients responding to regulator, licensee, aggregator or product provider concerns.
