Industry
Financial Services
Regulatory, transactional and advisory work for licensees, fund managers, banks and fintechs.
Sector Overview
How we support financial services clients.
Financial services is the most intensely regulated sector in the Australian economy, and the one where the cost of getting it wrong is highest. ASIC enforcement, Royal Commission aftermath, evolving prudential standards and an accelerating fintech sector combine to create an environment where providers need deeply technical legal and regulatory advice alongside commercial advisory support.
Corson Fiske advises licensees, fund managers, banks, insurers and fintechs on the regulatory, transactional and strategic matters that define their operations. Our partners have deep financial services experience and work closely with clients on both routine compliance and high-stakes contested matters.
We are particularly active in the fund management, wholesale and fintech segments, where the intersection of technical regulatory advice and commercial judgement is most valuable.
Capabilities in this sector
- AFSL applications, variations and compliance
- Managed investment scheme structuring
- Product disclosure and governance
- ASIC investigations and enforcement response
- Wholesale and retail client classification
- Fund establishment and operations
- M&A and corporate transactions
- Tax advisory — including cross-border fund structuring
Client Situations
When clients engage us.
The issues that bring clients through our door tend to fall into familiar patterns.
An AFSL application or variation is underway
A new licence or authorisation is needed and the application must be compliant and defensible.
ASIC has commenced an investigation
A regulatory inquiry or investigation is underway. Response must be rapid, privileged and strategically managed.
A fund is being established or restructured
Structure, tax, disclosure and operational arrangements all need to be put in place correctly.
A transaction involves a regulated business
M&A, capital raising or restructuring involves an AFSL holder, RE or other regulated entity.
Outcomes
What you can expect.
- Regulatory outcomes that protect licences and reputation
- Fund and product structures built to institutional standards
- Resolved ASIC matters with minimised commercial impact
- Transactions closed without regulatory setbacks
Why Corson Fiske
Experience where it counts.
Clients engage Corson Fiske because they need advice they can act on — delivered by senior practitioners who understand both the technical detail and the commercial consequences. Every engagement is led by a partner with direct experience in this sector.
Our integrated structure means tax, legal, accounting and advisory questions are resolved within a single firm. For clients operating across Australia, Asia, New Zealand or Asia, our office network in Sydney, Melbourne, Perth, Singapore and Auckland provides consistent advice across jurisdictions.
Our Approach
A refined four-phase method for every engagement.
Corson Fiske applies the same disciplined framework to every matter, regardless of scale. The phases below are not a marketing device — they are the actual structure our partners use to move clients from uncertainty to resolution.
Phase One
01
Understand
A confidential partner-led briefing to establish the facts, commercial drivers, timing pressures and stakeholder dynamics.
- Confidential scoping conversation
- Document and data review
- Stakeholder mapping
- Initial risk identification
Phase Two
02
Analyse
Structured technical and commercial analysis of every realistic option, with a clear view of risks, costs and likely outcomes.
- Technical legal and tax analysis
- Commercial modelling
- Risk-weighted options assessment
- Precedent and market benchmarking
Phase Three
03
Recommend
A written partner recommendation in plain English — not a list of caveats. We stand behind our advice and explain our reasoning.
- Clear written recommendation
- Implementation sequencing
- Stakeholder communication plan
- Contingency and fallback positions
Phase Four
04
Execute
Hands-on delivery of the agreed plan with partner oversight, regular milestone reporting and clear handback at completion.
- Implementation leadership
- Stakeholder engagement
- Milestone tracking and reporting
- Completion review and handback
Get the right advice from Corson Fiske.
Confidential, no-obligation initial consultations with a partner who specialises in this sector.