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Financial Services We have extensive experience in Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Act) matters.
Since the Act’s introduction, we have been advising clients to employ an anti-money laundering (AML) and counter-terrorism financing (CTF) program, in line with their legislative obligations.
With a proactive approach to guiding clients through the process, we advise on the full range of AML/CTF issues. This includes the application of the Act, compliance programs, relevant requirements and implementation, dealings with regulators and regulatory issues.
We are currently advising many wholesale and retail funds-managed clients on their obligations under the AML/CTF legislation and preparing their AML/CTF programs.
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Harry has represented a number of listed public companies, large private companies and government organisations. His clients include all...
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Related thinking
Financial Services| 22 Oct 2021
Director Identification Numbers incoming
A quick reminder that Directors can apply for a Director Identification Number (DIN) from 1 November 2021, and existing directors must have applied for a number by 30 November 2021.
Financial Services| 18 Oct 2021
Financial Services in Focus – Issue 59
In this edition, we consider the new DDO interim instruments, ASIC’s updated anti-hawking regulatory guidance and updates in relation to the new breach reporting regime and internal dispute resolution requirements, and much more.
Financial Services| 27 Sep 2021
Hawking: ASIC lands its final guidance for the sale of financial products
ASIC has released its final guidance on the new hawking regime that commences on 5 October 2021.
Financial Services| 23 Sep 2021
Financial Services in Focus – Issue 58
In this edition, we consider the final breach reporting regulatory guide, electronic execution and virtual meetings legislation, judicial commentary in relation to an AFS licensee’s supervisory arrangements, and much more.