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Sophie Grace Legal - Financial Services Licence & Compliance Specialists

Sophie Grace Legal is a leading Australian firm providing legal and compliance services for the financial services and credit industries. We service both Australian and international clients across the financial sector. Being independently owned and managed we ensure our clients receive the very best service, transparency and value for money.  In keeping with industry best practice, we do not pay or accept commissions in connection with any of the services we provide.

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AFS Licence Applications

Sophie Grace can assist you with all stages of obtaining an AFSL (AFS Licence). Our two standard service offerings are 1. Full Service AFSL.  2. Purchase AFSL Templates and Review Service.  We can customise a package to suit your business.

AFS Compliance Services

Sophie Grace provides important services to ensure that the regulatory requirements for financial services are met including Compliance policies and plans, Compliance reporting and Compliance reviews. 

Australian Credit Licences

Sophie Grace is equipped to help your business engaged in credit activities to meet its obligations under the national consumer credit laws. All businesses engaged in certain credit activities are required to have an Australian Credit Licence.

AML/CTF

Sophie Grace has real experience with AML/CTF requirements in Australia. Clients are given confidence that their AML/CTF needs are not only met but are effective and efficient.  We also conduct external reviews as required under the AML/CTF Act.

Legal Services

Sophie Grace offers legal solutions for your business needs. We can help you deal with financial services and corporate law issues, provide effective advice and prepare and review the relevant legal documentation.  There are a myriad of laws governing the conduct of business in Australia.

Training & Education

The Anti-Money Laundering and Counter-Terrorism Financing Act (AML/CTF) imposes a risk based approach to counter the money laundering problem. The obligations under the AML/CTF Act are imposed on a wide range of financial services.

Sophie Grace Legal Team

Sophie Gerber

Director (Legal and Compliance)

Alicia Pevely

Manager (Licensing and Compliance)

Sarah Murray

Compliance Consultant

Melody Gao

Lawyer

Angela Yang

Lawyer

Victoria Dryden

Lawyer

Sophie Gerber

Areas: Sophie is a director of both Sophie Grace Legal Pty Ltd and Sophie Grace Pty Ltd.

Common tasks: Sophie meets with clients to help them understand their compliance and legal requirements. She works with them to tailor appropriate solutions for their business. Sophie also provides compliance training seminars to clients.

Experience: Sophie has worked with some of Australia’s largest financial services organisations in compliance, legal and operational roles. She has also worked with small businesses to provide tailored solutions with a strong understanding of business practicalities as well as obligations to regulators.

Education: Sophie has a Bachelor of Commerce and a Bachelor of Law from the University of Sydney, and has also spent a year studying finance at Boston University. Sophie is admitted as a solicitor in NSW.

Alicia Pevely

Areas: Alicia works with Sophie Grace Pty Ltd with a particular focus on compliance and legal services.

Common tasks: Alicia assists clients with AFSL and ACL applications, variations and also assists in the implementation of compliance reviews. She provides ongoing compliance support in the form of preparation of compliance reporting for Compliance Committees and Boards of Directors. Alicia also assists in the preparation of legal advice, commercial agreements and disclosure documents.

Experience: Prior to joining Sophie Grace Pty Ltd, Alicia worked as a paralegal.

Education: Alicia has a Bachelor of Arts and a Bachelor of Law from University of Wollongong. She is admitted as a solicitor in NSW.

Sarah Murray

Areas: Sarah works with the Compliance Team with a particular focus on compliance and legal services. Sarah also works with the Legal Team providing ongoing assistance in drafting and reviewing documentation as well as legal research.

Common Tasks: Sarah assists clients with AFSL and ACL applications, variations and also assists in the implementation of compliance reviews. She provides ongoing compliance support in the form of compliance program implementation and reviews.

Experience: Prior to joining Sophie Grace Pty Ltd, Sarah’s experience included customer service and office support roles.

Education: Sarah has a Bachelor of Socio-Legal Studies from the University of Sydney.

Melody Gao

Areas: Melody assists in preparing, reviewing and negotiating legal documentation for participants in the financial services industry. Melody also assists with developing, reviewing and amending compliance documentation. She also supports the Compliance Consultants with the preparation of AFSL and ACL applications, variations and compliance reviews.

Common tasks: Melody provides ongoing legal support and also assists in implementing ongoing compliance support, updating procedural documentation and preparing compliance reporting for Compliance Committees and Boards of Directors.

Experience: Prior to joining Sophie Grace Pty Ltd, Melody worked as a paralegal.

Education: Melody has a Bachelor of Actuarial Studies and a Bachelor of Laws from the Australian National University. She is admitted as a solicitor in NSW.

Angela Yang

Areas: Angela works with the Legal Team on the drafting and review of legal documentation for participants in the financial services industry. She also works with the Compliance Team with a particular focus on drafting and tailoring compliance documentation to client’s needs. She also assists with AFSL and ACL applications, remittance registration and compliance reviews.

Common Tasks: Angela assists with the preparation of legal documentation for our clients, and also assists our compliance consultant in implementing ongoing compliance support, updating procedural documentation and preparing compliance reporting for Compliance Committees and Board of Directors.

Experience: Prior to joining Sophie Grace Pty Ltd, Angela worked as a legal intern.

Education: Angela has a Bachelor of Laws and a Bachelor of Actuarial Studies from the Australian National University. She is admitted as a solicitor in the ACT.

Victoria Dryden

Areas: Victoria works primarily with the legal services team at Sophie Grace Legal and assists in the drafting and review of legal documentation for participants in the financial services industry. Victoria also supports the Compliance Consultants in the provision of AFSL, ACL and on-going compliance services to clients.

Common Tasks: Victoria provides advice and legal services to clients and assists with the preparation of legal documentation, negotiation and advocacy on behalf of clients. Victoria also assists in implementing ongoing compliance support and the preparation of AFSL and ACL applications and variations.

Experience: Prior to joining Sophie Grace Pty Ltd, Victoria worked as a contract lawyer in London for two years. Prior to this she practiced for three years as an intermediate litigation lawyer in New Zealand, specialising in civil litigation and employment law.

Education: Victoria has a Bachelor of Laws and a Bachelor of Arts from Victoria University in Wellington. She is admitted as a Barrister and Solicitor in New Zealand.

Sophie Grace can assist you with all stages of obtaining an AFSL (AFS Licence). Our two standard service offerings are 1. Full Service AFSL.  2. Purchase AFSL Templates and Review Service.  We can customise a package to suit your business.

Sophie Grace is equipped to help your business engaged in credit activities to meet its obligations under the national consumer credit laws. All businesses engaged in certain credit activities are required to have an Australian Credit Licence (ACL) and must not trade without one.

The Anti-Money Laundering and Counter-Terrorism Financing Act (AML/CTF) imposes a risk based approach to counter the money laundering problem. The obligations under the AML/CTF Act are imposed on a wide range of financial services organisations including: financial services firms; banks; building societies; credit unions; superannuation funds; and on the gambling sector.

Sophie Grace has real and extensive legal and compliance experience in AML/CTF in Australia. With skills in AML/CTF, risk identification and compliance framework design, clients are given confidence that their AML/CTF needs are not only met but are effective and efficient.

Training sessions are tailored to suit the requirements of your business. Exams and assessments can also be conducted at the conclusion of the training, if required.Sophie Grace can work with your business to devise an ongoing tailored training program for your staff.