Rated excellent on Google
Lawyers for corporate advisory & capital raising
Run your corporate advisory business with clear AFSL authorisations & disclosure support for corporate advisers & arrangers.
- Dealing, arranging & advice authorisation strategy
- Handling of client money & conflicts management
- Mandates, engagement terms & offer documents
- AML/CTF programs for corporate advisory
FREE · NO OBLIGATION · QUICK REPLY
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Confidential. We never share your details.
Trusted by industry leaders
300+ AFSL holders · excellent on Google
HOW WE DO IT
Run your advisory firm with clear authorisations & compliance
We advise corporate advisers & arrangers on authorisations, disclosure, conflicts & day-to-day compliance so they can transact with confidence.
BY THE NUMBERS
Corporate advisory, by the numbers
SERVICE LINE
Corporate Advisory & Capital Raising
AFSL Applications authorisations, mandates, offer documents, conflicts & client money frameworks & AML/CTF programs for corporate advisers.
Broker AFSLs Obtained
FX Broker AFSLs Obtained
INDUSTRIES WE SERVE
Corporate Advisory
Capital Raising
Arranging
Wholesale
HOW IT WORKS
4-step roadmap for corporate advisers
We turn complex licensing, dealing & arranging questions for corporate advisers into a clear process from scoping through to launch & ongoing review.
1
Perimeter & licensing scoping
We assess your products & trading model to advise whether licensing is required in Australia & what authorisations are likely needed.
2
Application & structural alignment
We prepare licence applications or variations, advise on responsible manager coverage & align your entity structure with your licence conditions.
3
Documentation & policy build-out
We draft or refine engagement mandates, offer documents, conflicts & client-money policies, and AML/CTF materials.
4
Ongoing oversight & review
We support periodic reviews, incident response & regulator engagement so your frameworks stay current as your business evolves.
WHAT WE DO
Specialist licensing & compliance for corporate advisers & arrangers
We advise corporate advisers & arrangers on authorisations, disclosure, conflicts & day-to-day compliance.
Regulatory Perimeter & Licensing Advice
We advise whether your advisory, dealing & arranging activities require an AFSL & which authorisations are appropriate.
Licensing Applications & Variations
We prepare licence applications & variations, including the dealing, arranging & advice authorisations corporate advisers commonly need.
Mandates, Engagement Terms & Offer Documents
We draft or refine engagement mandates, advisory agreements & offer documents for capital raisings & transactions.
Conflicts, Inside Information & Wall Crossings
We design conflicts-of-interest, information-barrier & wall-crossing policies so your transaction conduct is clearly documented.
Handling of Client Money & Trust Accounts
We help document how client & transaction money is received, held & disbursed so responsibilities & protections are clear.
AML/CTF & AUSTRAC Programs
We develop AML/CTF programs & advise on AUSTRAC obligations tailored to corporate advisory & capital raising activity.
Peter Hagias, Founder
OUR FIRM
Who we are
In a regulated industry, the wrong partner can cost you your licence, your timeline and your sleep. AFSL House was built to be the opposite. Since 2020, founder and senior financial services lawyer Peter Hagias has led a team trusted by financial services businesses of every size. We take the stress and guesswork out of operating in a regulated environment.
We are more than a law firm. Alongside our 100% AFSL application success rate, we help you meet your ongoing regulatory obligations and commercial objectives with a number of complementary services. So whatever you need to launch your business and stay compliant, it is all under one roof.
CLIENT RESULTS
Real mandates, real outcomes
01/07
BTC Markets
Crypto Exchange
The first AFSL ever granted to a crypto exchange in Australia, backed by ongoing fixed-fee legal & compliance support.
THE OUTCOME
1st
AFSL for a crypto exchange in Australia
Retainer
Ongoing fixed-fee legal & compliance
AFSL APPLICATION • LEGAL • COMPLIANCE & REGULATION • RM RECRUITMENT
THE SITUATION
Australia’s leading crypto exchange needed legal and compliance expertise to navigate an ever-evolving crypto regulatory landscape, and wanted an AFSL to establish a payments business.
WHAT THEY NEEDED
Specialist legal and compliance expertise to stay ahead of fast-moving crypto regulation, and an AFSL to underpin a new payments business.
HOW WE HELPED
We secured the first AFSL ever granted to a crypto exchange in Australia, including the authorisations to support a payments business, and continue to act as an extension of their team under a fixed-fee retainer, providing dependable legal and compliance support as the landscape evolves.
Fixed fee · No obligation
Damisa
Cross-Border Payments & Crypto Brokerage
AFSL secured to power cross-border payments using stablecoin rails, crypto buy & sell and multi-currency capabilities, giving customers same-day settlement and the ability to settle payments in cryptocurrency.
THE OUTCOME
AFSL
Granted by ASIC
Stablecoins
Cross-border payments, crypto & multi-currency
AFSL APPLICATION · LEGAL · COMPLIANCE & REGULATION
THE SITUATION
A cross-border payment provider moving money in and out of Australia on behalf of customers using stablecoin rails, and wanting customers to be able to buy, sell and hold crypto and multiple currencies on its platform.
WHAT THEY NEEDED
A full-scope AFSL authorising cross-border payment services using stablecoins, the ability for customers to buy and sell crypto, and multi-currency capabilities.
HOW WE HELPED
We guided Damisa through a rigorous ASIC application and secured its AFSL, authorising cross-border payment services, enabling customers to buy and sell crypto, and providing multi-currency capabilities. We also assisted with AML registration as a remitter, ongoing legal and compliance set-up, PDS, FSG, TMD and T&Cs preparation, and support securing local banking and liquidity providers.
Fixed fee · No obligation
Bless Payments
Payments & Remittance
A turn-key path to market, covering the full legal stack, an AFSL and AUSTRAC remittance registration.
THE OUTCOME
Turn-key
Legal, disclosure & licensing build
AFSL + AUSTRAC
Licence & remittance registration
AFSL APPLICATION • LEGAL • COMPLIANCE & REGULATION • RM RECRUITMENT
THE SITUATION
A payments and FX business preparing to come to market and needing its entire regulatory and legal foundation built from the ground up.
WHAT THEY NEEDED
Support across every element of operating a payments and FX business, including an AFSL, AUSTRAC registration and the full suite of legal documents.
HOW WE HELPED
We delivered a turn-key solution across their payments and FX business, preparing the legal documents and securing the AFSL and AUSTRAC remittance registration, and we continue to provide ongoing services today.
Fixed fee · No obligation
Curated Capital
Wholesale Property Fund
Licensed to offer wholesale property syndicates, with ongoing legal and compliance support.
THE OUTCOME
AFSL
Granted for wholesale syndicates
Ongoing
Legal & compliance support
AFSL APPLICATION • LEGAL • COMPLIANCE & REGULATION
THE SITUATION
A wholesale property fund preparing to offer property syndicates to its clients.
WHAT THEY NEEDED
An AFSL and the disclosure documents required to offer wholesale property syndicates, plus ongoing legal and compliance support, including assistance administering each wholesale property syndicate.
HOW WE HELPED
We obtained their AFSL and established the disclosure documents required to offer wholesale property syndicates, and we provide ongoing legal and compliance support, including assistance administering each wholesale property syndicate.
Fixed fee · No obligation
Hello Clever
Fintech & Payments
From an established business to a fully licensed, regulated product offering.
THE OUTCOME
Full-scope
AFSL secured
RMs placed
Responsible Managers sourced
AFSL APPLICATION • LEGAL • COMPLIANCE & REGULATION
THE SITUATION
An existing business looking to expand its product set into regulated financial offerings for the first time.
WHAT THEY NEEDED
To move through the AML registration phase, uplift its AML/CTF documentation and processes, and obtain a full-scope AFSL with the right Responsible Managers.
HOW WE HELPED
We guided them through AML registration, updated their AML/CTF documentation and processes, sourced Responsible Managers and secured a full-scope AFSL, and now support them with their ongoing legal and compliance requirements on a fixed-fee retainer.
Fixed fee · No obligation
Toss
Global Super-App
Korea’s leading financial SuperApp, now licensed to provide remittance services in Australia.
THE OUTCOME
5 months
To a granted AFSL
End-to-end
Market entry & licensing
AFSL APPLICATION • LEGAL • COMPLIANCE & REGULATION • RM RECRUITMENT
THE SITUATION
Korea’s leading financial SuperApp seeking to establish a licensed remittance business in Australia.
WHAT THEY NEEDED
To establish a licensed remittance business in Australia, including a local presence and the licences and registrations required to provide domestic P2P payment services.
HOW WE HELPED
We stood up their Australian operations, covering incorporation, resident director, Responsible Manager, AFSL application and AML remittance registration, and secured the licence in five months. We now provide ongoing legal and compliance support.
Fixed fee · No obligation
Immersve
Crypto Payments
Licensed, supported on an ongoing basis, and progressed toward Mastercard principal membership.
THE OUTCOME
AFSL
Granted & maintained
Mastercard
Principal membership work
AFSL APPLICATION • LEGAL • COMPLIANCE & REGULATION • RM RECRUITMENT
THE SITUATION
A global crypto-to-card payments business looking to establish operations in Australia and access card-scheme infrastructure.
WHAT THEY NEEDED
An AFSL, ongoing legal and regulatory support, and assistance securing Mastercard principal membership.
HOW WE HELPED
We obtained their AFSL and assisted them in accessing card-scheme infrastructure, including their Mastercard principal membership, at the outset. We now provide ongoing legal support, helping them navigate and comply with their local legal and regulatory requirements.
Fixed fee · No obligation
Interstellar Capital
Wholesale Property Fund
AFSL secured and disclosure documents built for wholesale property syndicates.
THE OUTCOME
AFSL
Granted for wholesale syndicates
Ongoing
Legal & compliance support
AFSL APPLICATION • LEGAL • COMPLIANCE & REGULATION
THE SITUATION
A wholesale property fund bringing property syndicates to its investors.
WHAT THEY NEEDED
An AFSL and compliant disclosure documents for wholesale property syndicates, backed by ongoing legal and compliance support.
HOW WE HELPED
We obtained their AFSL and established the disclosure documents required to offer wholesale property syndicates, and we provide ongoing legal and compliance support.
Fixed fee · No obligation
TESTIMONIALS
Rated 5-star by our clients
Book your free, no-obligation consultation
Have a related, no-pressure chat with one of our senior AFSL lawyers. You’ll walk away knowing exactly where you stand and what to do next.
Peter Hagias & team
WHY AFSL HOUSE
Why choose AFSL House for your advisory firm?
We understand how corporate advisers & arrangers operate, from mandates & capital raisings to managing conflicts & inside information.
Corporate advisory expertise
We understand how corporate advisers & arrangers operate, from mandates & capital raisings to managing conflicts & inside information.
Integrated licensing & compliance
We align licensing strategy, mandates & offer documents, conflicts & client-money policies & AML/CTF programs into one coherent framework.
Commercially practical advice
We explain regulatory constraints & help you protect mandates, relationships & the way you actually transact.
AFSL VIDEO SHORTS
AFSL, explained by our lawyers
Quick, plain-English answers to the questions we hear most, straight from the specialists who handle your licence.
Book your free, no-obligation consultation
Have a related, no-pressure chat with one of our senior AFSL lawyers. You’ll walk away knowing exactly where you stand and what to do next.
INSIGHTS LIBRARY
Brokers & brokerage firms insights
Stay ahead of evolving regulation with free guides, checklists & insights on brokers & brokerage firms licensing, written by our specialist AFSL lawyers.
Free 90-seconds Assessment
Not sure where you stand with your AFSL?
Answer a few quick questions and we’ll build you a personalised AFSL action plan, based on the very things ASIC will expect from you. It takes about 90 seconds.
- Takes under 2 minutes
- Tailored to your business type
- No cost, no obligation
FREE DOWNLOADS
Free & practical AFSL guides & checklists
Practical guides, roadmaps and checklists that make getting ready simple, written by the lawyers who do this every day.
MORE IN THIS SECTOR
Explore brokers & brokerage firms licensing
Book your free, no-obligation consultation
Have a related, no-pressure chat with one of our senior AFSL lawyers. You’ll walk away knowing exactly where you stand and what to do next.
WHY WE DO
Market-leading, comprehensive AFSL services
A comprehensive range of services tailored to financial services companies seeking an Australian Financial Services Licence and ongoing compliance support.
AFSL Applications
A 100% success rate in AFSL applications, helping clients obtain their licence in record time.
ACL Applications
End-to-end Australian Credit Licence applications for lenders, brokers and credit providers, prepared and lodged for you.
Compliance & Regulation
Tailored risk and compliance frameworks to ensure you comply with your AFSL obligations.
Legal Support
Specialised AFSL lawyers providing holistic legal services to AFSL holders & applicants.
AFSL Audits & Investigations
Comprehensive governance audits to avoid enforcement action and assist in ASIC & AUSTRAC investigations.
AFSL for Hire
Be appointed as a Corporate Authorised Representative under our AFSL to start operating quickly.
Marketplace for AFSL
Connecting AFSL holders and applicants with qualified Responsible Managers, with expert sourcing and placement handled for you.
AFSL Responsible Manager Recruitment
Connecting AFSL holders and applicants with qualified Responsible Managers. Expert RM sourcing and placement.
White-Label Services
Enabling legal and consulting firms to offer AFSL expertise under their own brand.
FAQ
Frequently asked questions
Do share brokers need an AFSL?
Generally yes. Dealing in securities, arranging deals and advising on financial products require AFSL authorisations. We assess your activities and advise exactly which authorisations, and whether you also need market participant status, you require.
What is the difference between dealing and being a market participant?
An AFSL authorises you to deal in and advise on securities. Trading directly on a licensed market such as ASX or Cboe also requires market participant status under that market’s operating rules. We advise which you need and handle both applications.
What are my best execution obligations?
When handling client orders you must take reasonable steps to obtain the best outcome, considering price, cost, speed and likelihood of execution. We draft best-execution policies and the monitoring that evidences compliance.
How is client money handled by a broker?
Client money must be held and reconciled under the Corporations Act client money rules. We document how client funds, securities and settlement obligations are handled so responsibilities and protections are clear and defensible.
What conduct and market integrity rules apply?
Brokers are subject to ASIC market integrity rules and the operating rules of the markets they access, covering order handling, conflicts, record-keeping and surveillance. We build policies that make these obligations workable day to day.
Can you help an existing dealer expand or vary its licence?
Yes. We prepare licence applications and variations, advise on responsible manager coverage, and align your authorisations and participant status as your broking business grows.