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At Navado, we may be able to assist you in relation to compliance with investment regulators, and in ensuring that investments are compliant. In this regard, we may be able to assist you in your dealings with regulators such as ASIC, APRA and FIRB. The Australian Securities and Investments Commission (ASIC) is an independent organisation that regulates companies and the financial services sector within Australia. ASIC and the Australian Prudential Regulation Authority (APRA) also monitor and regulates investments.

ASIC or APRA may provide written notification to individuals who have failed to comply with their investment obligations. This notification may set out the steps required to be undertaken by the individual to rectify the breach. If the individual fails to sufficiently remedy the breach, ASIC may commence formal action. Such action may include legal proceedings from which fines or more serious penalties may be available.

Additionally, the Australian Government administers the Foreign Investment Review Board (FIRB).  The purpose of FIRB is for the Australian Government to review the investments of non-Australian citizens and to regulate their investments to ensure taxation compliance. Generally it may be the case that the FIRB is empowered to act in relation to the Foreign Acquisitions and Takeovers Act.

At Navado we may be able to assist you in ensuring compliance, in seeking approval from FIRB or if a dispute has arisen, in advising you of your position and how to respond.

If you are unsure of your obligations or rights in relation to investments, or if you have had contact with the regulating body in relation to alleged breaches of the Acts, we recommend that you contact our firm on (02) 9233 4048 or send an email to info@navado.com.au and arrange an appointment to see one of our Compliance & Regulatory Law Solicitors.

 

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This webpage (and any material or wording appearing on this webpage) is provided for general information purposes only and does not constitute any Legal Advice. It does not take into account your objectives, your instructions or all of the relevant facts and/or circumstances. Navado accepts no responsibility to any person who relies on the information provided on this website. We further refer you to our Disclaimer.

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