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Taxation, regulation and compliance

Gadens’ taxation, regulation and compliance team (TRAC) provides in-depth advice to credit and financial services providers, drawing on years of experience in delivering strategic and practical advice.
The TRAC team regularly advises on capital raisings, managed investments schemes, standard loan and distribution documentation, money markets and foreign exchange, and non cash payment methods.  Our areas of specialty include advising in relation to the AML/CTF Act, Competition and Consumer Act, Corporations Act, NCCP Act, SIS Act, PPS Act, and Privacy Act.
Our many years of experience from both a legal and commercial perspective ensure our clients are well positioned to take advantage of opportunities while complying with their legal and regulatory obligations.
Jon Denovan, also a partner in the TRAC team, was the first honorary member of the Mortgage & Finance Association of Australia (MFAA) in recognition of his contribution to the mortgage industry.
The TRAC team is well known for ground breaking work creating new products and businesses.  The team is acknowledged as a leader in the area of lending to self-managed superannuation funds (SMSFs) and developed the first SMSF lending policy for one of Australia’s leading banks in 2007.  
The TRAC team can assist in:
  • NCC and NCCP compliance - including licensing advice and compliance assistance
  • documents and procedures for retail, commercial and corporate lenders, with ongoing management and on line audit trails
  • outsourcing agreements, including management and broking distribution agreements
  • anti-money laundering and counter terrorism laws and procedures
  • Privacy Act assistance and advice
  • risk management advice, including anti-fraud strategies
  • financial services advice including
  • obtaining or varying Australian financial services licences
  • compliance advice preparation and review of financial services guides (FSG), product disclosure statements (PDS), information memorandums and prospectuses
  • breach reporting
  • managed investment schemes - structuring, licensing and registration
  • joint venture agreements
  • alliance agreements
  • GST on financial supply businesses
  • trade practices advice including review of advertisements, trade promotions (lotteries etc), third line forcing
  • sales of financial services businesses
  • compliance training.
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