Financial services regulatory

Regulatory Transaction Support

Successful financial sector transactions depend upon identifying, navigating and resolving complex regulatory requirements. Together with our M&A experts we guide clients though transactions to ensure risk is mitigated and transaction documents are compliant while managing approval processes to deliver smooth execution of transactions.

Our experience providing these services spans all sides of a deal and means that no matter the complexity you have a team that delivers you the regulatory and compliance advice that you need to get the deal done.

imageRegulatory Change and Compliance Advisory
imageGovernance and Risk Management
imageEnforcement, Investigations and Disputes
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Lauded by one market source for "the depth of experience the firm has and the insights it has because of the exposure the firm has in acting for other large financial institutions."
Chambers Asia Pacific

Experience

US based fund manager

Advised a US based fund manager in respect of their bid to acquire MLC. Clayton Utz advised this US based fund manager (since the start of their interest in MLC) navigating through the fallout of the Royal Commission and advising on what it meant for the MLC business and providing strategic advice in relation to conflicts arrangements within a vertically integrated wealth business.

Macquarie Bank

Advised in relation to a wide range of regulatory matters, structured and complex product regulatory licencing and transactions including the purchase of the Woolworths credit card portfolio, and acquisitions of GMAC Australia LLC and Esanda, to name but a few.

Large Foreign Life Insurer

Advised a large foreign life insurer in respect of its bid to acquire an Australian bank's life insurance business. Our advice was essential to understanding the proposed post-transaction distribution model and embedded sales model, having regard to complex legislative requirements relating to the provision of financial product advice and the receipt of remuneration by advisers and distributors, together with recent Court decisions relating to these complex issues. /p>

ANZ

Advised on aspects of the sale of ANZ's Wealth arm to IOOF and Zurich Insurance Group. The complexity of the sale required an in-depth review of all disclosure documents of ANZ Wealth's products (including its core super and pension, life insurance and investment products). This is to ensure that all relevant regulatory requirements are complied with and to ensure the smooth transition of the products to the relevant purchasers.

Confidential Mandates

Advised a range of offshore funds on the acquisition of lending and financial service platforms for distressed or par values, and a number of general and life insurers on proposed acquisitions in the insurance industry.

FlexiGroup

Acting for FlexiGroup, Oxipay and Certegy in relation of the consolidation of their 'Buy Now Pay Later' businesses under the new product and brand known as 'Humm'.

Knowledge & insights

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ASIC puts finfluencers on notice

ARTICLE, 31 Mar 2022
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Australian Treasury consults on proposed regulatory framework for crypto asset secondary service providers

ARTICLE, 31 Mar 2022
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FAR Bill receives endorsement to proceed

ARTICLE, 16 Feb 2022
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Foreign investment threshold reduced to 10% for expanded list of Australian businesses deemed to be "critical"

ARTICLE, 3 Feb 2022
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Too little too late to challenge findings of misleading conduct over financial products

ARTICLE, 3 Feb 2022

GET IN TOUCH

Craig Hine

Sydney
Special Counsel