Financial Services Regulation

As part of the world's largest professional services firm, our financial services team has proven expertise in the provision of strategic and practical investments and funds management advice.

At PricewaterhouseCoopers, we believe that an informed understanding of the complex financial services legislation is imperative for any financial sector strategy to be successful. With assistance from PwC, you can turn financial services legislation compliance into an opportunity to improve management processes and strengthen confidence in your business.

Our clients include some of Australia's most prominent financial services corporations, including funds managers, private equity firms, venture capital firms, broking and lending institutions.

We can assist you with:

• Australian Financial Services Licensing applications and variations
  
  
• Developing an efficient and cost-effective approach to compliance
  
  
• Disclosure requirements in relation to Product Disclosure Statements, Financial Services Guides and Statements of Advice
  
  
• Governance and risk management
  
  
• Negotiating with ASIC.