- 02 3820 3730
- Level 13, 333 George St, Sydney NSW 2000
Financial Services Lawyers for Share Brokers
- Licensing & authorisation strategy for online & full‑service share brokers
- Client agreements, product disclosures & risk warnings for listed securities
- Trading conduct, best‑execution & conflicts‑of‑interest policies
- AML/CTF programs tailored to broking & client‑money activity
Build your share brokerage on a secure licensing & compliance foundation.
Book a FREE Consultation
Regulatory & Licensing Services for Share Brokers
We design & execute the licensing, documentation & compliance frameworks your share brokerage needs.
Licensing Strategy & Authorisations
We assess your business model to map the regimes you’ll engage & the licence authorisations you’re likely to need to operate as a share broker.
Trading & Market Access Rules
We draft rules & procedures for order handling, execution, routing & market access obligations so your trading model is clearly documented.
Product & Client Documentation
We draft client agreements, product disclosure wording & risk summaries for shares, ETFs & other listed products.
Client Money & Asset Safeguards
We help design client‑money, custody & asset‑segregation settings that support clear ownership, protection & regulatory expectations.
AUSTRAC Registration & AML/CTF Programs
We build AML/CTF policies, procedures & monitoring tailored to your broking & client‑money activity.
Australia's Leading Financial Services Law Firm for Share Brokers
Rated 5-Star By Our Clients
Why Choose AFSL House for Your Share Brokerage?
Broker‑First Expertise
We understand how online & full‑service share brokers operate, including order flows, client types & listed products.
Integrated Licensing & Compliance
We align licensing strategy, client documentation, trading conduct rules, client‑money settings & AML/CTF into one coherent framework.
Commercially Practical Advice
We explain regulatory constraints & help you protect revenue, client relationships & the way your business actually works.
Get Your Free Initial Consultation
Request a Free Consultation with one of our experienced AFSL Lawyers today.
Our 4‑Step Licensing & Compliance Roadmap for Share Brokers
We turn complex licensing & compliance questions for share brokers into a clear process from scoping through to launch & ongoing review.
200+
AFSL Applications
100%
Success Rate
Step 1: Perimeter & Licence Scoping
We assess your products, services & business model to advise whether licensing is required in Australia & what authorisations are likely needed to operate as a share broker.
Step 2: Application & Structural Alignment
We prepare licence applications or variations & align your governance, people & entity structure with your licence conditions.
Step 3: Documentation & Policy Build‑Out
We draft or refine client agreements, disclosure wording & risk summaries, plus trading conduct, best‑execution, conflicts & AML/CTF policies that support your licenced activities.
Step 4: Ongoing Oversight & Review
We support periodic reviews, incident response & regulator engagement so your licensing & compliance frameworks stay current as your brokerage evolves.
End‑to‑End Broker Licensing & Compliance Services
Share Brokers
Licensing, documentation & compliance support for online & full‑service share brokers serving retail & wholesale clients.
CFD Brokers
Licensing, risk disclosure & trading‑conduct frameworks for CFD brokers offering leveraged products to retail & professional clients.
Crypto Brokers
Licensing, custody, disclosure & AML/CTF support for crypto brokerages that intermediate digital asset trading.
FX Brokers
Licensing, documentation & conduct frameworks for FX brokers providing spot & leveraged foreign exchange trading.
Free & Practical AFSL Guides & Checklists
Free 90-seconds Assessment
Are you complying with your AFSL?
We understand the challenges of complying with your AFSL obligations. That’s why we created this free 90-second assessment.
Quickly check your status and get the insights you need. Take the test now.
2026 Guide to AFSL Applications
A practical guide covering the key steps, milestones & timeframes for obtaining an AFS License.
Your AFSL Roadmap
An illustrative chart with key milestones & steps in applying for an AFSL & ensuring ongoing compliance.
AFSL Compliance Calendar
Comprehensive calendar outlining key compliance deadlines & obligations for AFSL holders throughout the year.
Get Your Free Initial Consultation
Request a Free Consultation with one of our experienced AFSL Lawyers today.
Insights Library
Practical AFSL Guides & Insights
Unlock free AFSL guides, checklists, and insights in our regularly updated Insights Library, written by legal experts.
Who We Are
Founded in 2020 by senior financial services lawyer Peter Hagias, AFSL House specialises in regulatory and legal services for AFSL holders. Our expert team serves fintech companies, fund managers, and financial planners both locally and internationally, delivering compliance solutions that withstand regulatory scrutiny.
Under Peter’s leadership as an industry consultant and compliance committee chair, we continue to provide outstanding support to Australia’s financial services sector.
Market-Leading, Comprehensive AFSL Services
AFSL House offers a comprehensive range of services tailored to meet the needs of financial services companies seeking an Australian Financial Services Licences (AFSL) and compliance support.
AFSL Applications
We are proud to have a 100% success rate in AFSL applications, ensuring our clients obtain their AFSL in record time.
Compliance & Regulation
AFSL House prepares tailored risk and compliance frameworks to ensure you comply with your AFSL obligations.
Legal Support
Our expert team of specialised AFSL lawyers provides holistic legal services to AFSL holders & AFSL Applicants.
AFSL Audits & Investigations
We deliver comprehensive governance audits to avoid enforcement action and assist in ASIC and AUSTRAC investigations.
AFSL for Hire
Be appointed as a Corporate Authorised Representative (CAR) under our AFSL to commence operations quickly.
Marketplace for AFSL
Access our curated database of existing AFSL sellers and brokers to expedite your license acquisition process.
AFSL Responsible Manager Recruitment
Connecting AFSL holders and applicants with qualified Responsible Managers. Expert RM sourcing and placement.
White-Label Services
We enable legal and consulting firms to offer AFSL expertise under their own brand through our white-label solutions.
