Reply To: Brisbane based compliance support

[Chris Wallace]

Hi Matthew,

This forum is moderated by Holley Nethercote Commercial Lawyers (hnlaw.com.au).  We’re a law firm that specialises in Financial Services.  We also run a training business – Compact Compliance and Training (ccct.com.au). In our experience FOFA assistance normally falls into three categories.

1. Conflicted remuneration

2. Ongoing fee arrangements – Fee disclosure statements

3. Reviewing personal advice delivery methods (processes, templates) in light of best interest duty etc.

We’re Melbourne-based but have clients Australia wide.  We do not have a particular contact based in Brisbane to whom we would refer you.  If you think we can be of help, don’t hesitate to contact us via email (law@hnlaw.com.au) or drop us a line (03 9670 8200).

Author: Andrew Ham

Co-contributor: Chris Wallace