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Financial Services


The financial services industry in Australia is dynamic and constantly subject to innovation, new entrants and continuing legal reform.

Operating in and navigating the financial services sector and dealing with its regulators can be complex, particularly with the constant level of regulatory change.

Our clients represent a diverse range of participants in the financial services sector and financial markets and operate in the following sub-sectors - insurance, capital markets, managed investments, financial planning, commodities, derivatives, funds management, securities, forex, custodial services, non-cash payment facilities and credit services.

TressCox can advise you on all aspects of your financial services business or products whether you are an established participant, an intermediary or you are contemplating entry into the financial services sector domestically or from overseas or if your objective is to launch a new financial product or service.

Our dedicated focus on financial services and our networks in the financial markets, form the foundation upon which we aim to provide you with simple, practical and commercial legal solutions.

TressCox regularly deals with the regulatory bodies of the financial services, corporate and capital market sectors such as ASIC, APRA, Australian Securities Exchange (ASX), ASX24, Markets Disciplinary Panel, FOS, ATO, AUSTRAC, ACCC and Treasury.

We can assist you with your commercial goals and strategies specifically to:

  • Grow, expand or consolidate your position in the financial services market
  • Negotiate and form strategic alliances and distribution channels
  • Initiate and innovate new financial products and services
  • Leverage inbound and strategic investment opportunities
  • Manage risk and governance including AFS Licence, product disclosure and prudential regulation, and
  • Navigate the regulatory framework and deal with regulators.
Our Expertise

Our financial services, markets, transactional and regulatory expertise includes:

  • M&A - acting on the merger for two medical defence insurance mutuals including regulatory and prudential approvals from ASIC, ACCC and APRA
  • Insurance Strategic Alliance - assisting in establishing a joint venture with a large Australian insurance provider, to develop and distribute an innovative telematics based motor vehicle insurance product
  • Underwriting and Lloyds Coverholder - acting for and establishing a Lloyds coverholder onshore and setting up an underwriting agency in Australia to conduct underwriting and claims business
  • Product Innovation - seeking product specific regulatory relief from ASIC for new and innovative financial products and services such as insurance, credit and non-cash payment products
  • Insurance Policy Wording - drafting policy wordings and disclosure documentation for insurance providers including D&O insurance, professional indemnity insurance, medical indemnity insurance, marine pleasure craft insurance and other general insurance products
  • ASX & ASX 24 Markets - acting for market participants and advising on compliance with Listing Rules and Market Integrity Rules
  • Enforcement, Investigation and Infringement - acting for financial services providers and advising in relation to ASIC enforcement including the Markets Disciplinary Panel and the Financial Ombudsman
  • Financial Services Structures - assisting onshore and offshore entities to set up financial services businesses in Australia including FX operations, market operators, structured investment arrangements, schemes and trusts
  • Financial Markets - reviewing and preparing client services and third party agreements for market operators and participants including OTC derivatives, commodities and FX products, and
  • D&O Insurance - advising a publicly listed entity on the structure of a D&O Program and its interaction with global coverage.
Our Financial Services News & Events

Financial Services >

Our Financial Services Achievements

Asialaw Profiles

We have been listed as a recommended law firm (2017) and a highly recommended law firm (2014 - 2016 inclusive) in Asialaw Profiles for Banking & Finance.

We have been listed as a recommended law firm in Asialaw Profiles (2016) for Financial Services Regulatory.

International Finance Law Review (IFLR) 1000 Guide

We have been listed in the IFLR Guide of leading financial and corporate law firms for Banking expertise (2013 - 2018 inclusive).

Related Areas


Insurance & Insurance Litigation

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Wealth, Tax & Estate Planning

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