Financial Services Law

At Scope Legal, alongside the legal services we have built our name on, we have expanded our capability, offering highly technical expertise to the heavily regulated financial services sector.

We help financial services businesses manage their regulatory, corporate and commercial challenges.

Scope Legal - Financial Services Law

Our financial services team are true specialists.  We can advise your business regarding:

  • Financial services regulatory regime general compliance
  • AFSL and ACL applications and variations
  • Responsible Manager and Key Person appointments
  • AFS authorisations and Authorised Representative Agreements
  • ACR authorisations and Credit Representative Agreements
  • Distribution models
  • Regulatory investigations and enforcement proceedings, production notices and breach notifications
  • Corporate transactions, including structuring advice, succession planning and sales and acquisitions
  • Contract review or drafting and negotiation
  • General commercial aspects of running a financial services business

Our financial services team has a depth of experience in financial services law, particularly all aspects of the FoFA regime, including best interests obligations and conflicted remuneration.

Scope Legal - An ethical advantage

An ethical advantage

We advise financial advice AFSLs and financial planning practices of all shapes and sizes.

It’s our passion to help financial advice businesses understand the commercial and regulatory risks they face and to guide them in establishing an ethical framework in which they can operate effectively.

“Clients don’t want advice that ‘sits on the fence’.  They need to understand the risks to enable them to make sound decisions.” ~ Mel Taylor

Need some financial services legal advice?

Contact us today.



    PO Box 289
    Avoca Beach
    NSW 2251