Financial Services

Sophie Grace Legal can offer legal solutions for a range of financial services businesses.

Upon obtaining your AFSL to operate a financial services business, there are a range of legal documents, legal advice and other legal services you may require. Sophie Grace Legal has experience with a variety of different types of licensees.

The types of clients we can advise include:

  • Financial Planners and Advisers;
  • Margin FX Providers;
  • Providers of Contracts for Difference (CFDs);
  • Stockbrokers; and
  • Providers of Payment Services.

Financial Planners and Advisers

We can assist financial planners ensure that their documentation meets the requirements as set out in the Corporations Act and ASIC’s Regulatory Guides.  There are a variety of documents required to be provided to each client you deal with and they need to cover off all of the necessary obligations in order to comply with your obligations as either an AFSL holder or an Authorised Representative.

We can advise on various topics covered by the Corporations Act and associated regulations which may impact your business.  Sophie Grace can advise of various financial services regulation issues including:

  • Future of Financial Advice (“FOFA“); and
  • Conflicts of Interest and Conflicted Remuneration.

We can also assist in preparing and/or reviewing documents including:

  • Financial Services Guides (“FSGs“);
  • Fee Disclosure Statements;
  • Corporate Authorised Representative Agreements;
  • Individual Authorised Representative Agreements;
  • Client/Fee Service Agreements;
  • Transfer Deeds;
  • Termination Deeds.

Margin FX/CFD Providers

We advise many Margin Foreign Exchange (“FX“) and Contracts for Difference (“CFD“) providers on complex, specialised topics within the Corporations Act and associated regulations which impact the operation of their business.  Sophie Grace can advise of various financial services regulation issues including:

  • FOFA;
  • Conflicts of Interest and Conflicted Remuneration;
  • Managed Discretionary Accounts (“MDAs“) for copy trading, PAMMs and MAMMs;
  • Client Money laws.

We can also assist by preparing and/or reviewing legal documents including:

  • FSGs;
  • Product Disclosure Statements (“PDSs“);
  • Introducing Broker (“IB“) Agreements;
  • Branded Introducing Broker Agreements;
  • White Label Agreements;
  • Liquidity Agreements;
  • Authorised Representative Agreements; and
  • Client Agreements.

Stockbrokers

At Sophie Grace we can advise on complex, specialised topics within the Corporations Act and associated regulations which impact your business. Sophie Grace can advise of various financial services regulatory issues including:

  • FOFA;
  • Conflicted Remuneration and Conflicts of Interest; and
  • MDAs.

Stockbrokers are likely to require a range of legal documentation in order to operate their business. Sophie Grace can assist with the following documents:

  • FSGs;
  • Client Agreements;
  • PDSs; and
  • Statements of Advice.

Contact Sophie Grace Legal for further information on the documentation your business may require.

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