Search
Close this search box.

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 range of different types of licences and can assist you to implement the appropriate legal disclosure documents for your business.

Sophie Grace can: 

  1. Provide advice;
  2. Prepare your legal documentation;
  3. Review your existing documents; and 
  4. Provide Ad Hoc Assistance where required.
Sophie Grace assists a range of financial service providers including:

Providers of Payment Services

We can assist firms looking to set up payment services businesses to determine what type of licences and authorisations they require to operate in compliance with the Australian Laws.

Once the correct licences have been obtained, we can assist you with the development of the appropriate legal documentation to take your product to market. Sophie Grace can assist with the following documents:

  • Financial Services Guides (“FSG“);
  • Client Agreements;
  • Target Market Determinations (“TMD“); and
  • Product Disclosure Statements (“PDS“)

Trading Platform Operators

At Sophie Grace Legal we can advise on complex topics within the Corporations Act and associated regulations which impact your business. Trading platform providers are also 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; 
  • Target Market Determinations (“TMD”); and
  • Product Disclosure Statements (“PDS”).

Financial Advisers and Planners

We can assist financial planners to prepare documentation that 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 assist in preparing and/or reviewing documents including: 

  • Financial Service Guides (“FSG“); 
  • Fee Disclosure Statements; 
  • Authorised Representative Agreements (Corporate and Individuals); and
  • Client/Fee Service Agreements.

Margin FX/CFD Providers

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

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

  • Financial Services Guides (“FSG“);
  • Product Disclosure Statements (“PDS“);
  • Terms and Conditions / Client Agreement;
  • Target Market Determination (“TMD”);
  • Introducing Broker (“IB“) Agreements;
  • Branded IB Agreements;
  • White Label Agreements;
  • Liquidity Agreements; and
  • Authorised Representative Agreements.

Sophie Grace can also assist in providing industry-specific legal advice in relation to the following:

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

Sophie Grace Compliance Portal

Sign up today for up-to-date compliance policies and regular consultation with our staff.

Contact Us

We will contact you as soon as possible!

=