Sophie Grace Pty Ltd

Sophie Grace Pty Ltd Sophie Grace is a consultancy firm providing legal and compliance services for the financial service

We are an Australian compliance and legal consultancy firm, with clients across Australia & internationally. Our speciality is assisting firms establish and maintain a financial services business in Australia. We work across a broad range of financial services - including funds management, derivatives (including margin FX, CFDs and binary options), financial planning and stockbroking. Our expertis

e includes advising on:
new financial services business establishment and structuring;
obtaining an Australian Financial Services License (AFSL);
wholesale and retail product disclosure;
distribution and marketing;
compliance and regulatory matters;
establishing Australian domiciled managed funds and underlying investment structures, both on-shore and off-shore (including for Australian and overseas equities schemes, property trusts, alternative investment schemes, hedge funds and cash management trusts);
key outsourcing arrangements including custody, registry, administration and prime broker arrangements;
liaising with regulators on behalf of clients, in particular, with ASIC;
consultation with Treasury, the regulators and other government and industry bodies

Specialties:
AFSL, Compliance, Legal, ACL

Address

Level 14, 4-6 Bligh Street
Sydney, NSW
2000

Opening Hours

Monday 9am - 5pm
Tuesday 9am - 5pm
Wednesday 9am - 5pm
Thursday 9am - 5pm
Friday 9am - 5pm

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