Drop us a line today for a chat about how we can help you manage your AFSL compliance.
We provide a comprehensive legal services for financial advice firms across Australia.
Rhett Das established the financial services law firm in 2021 to cover the legal needs of his Integrity Compliance clients.
Troy Nutley joined RD Legal as a Principal a year later, bringing with him a diverse breadth of work.
Having worked in both regulatory and in-house corporate roles, Rhett and Troy bring extensive regulatory expertise to bear on financial services legal matters while also understanding the commercial needs and practicalities of financial services firms.
Rhett Das
Rhett’s has worked in diverse roles across the legal and financial industries during his career that place him in the best position to advise AFSL Licensees across Australia. He has held roles such as a solicitor in private practice, an investigator for the Australian Competition and Consumer Commission (ACCC), a panel case manager for the Financial Ombudsman Service (FOS), the Head of Compliance for an ASX listed company that holds two AFS licences, and he has been an independent expert in enforceable undertakings.
Rhett has a unique skill set and a deep understanding of the balance needed to achieve both regulatory and commercial outcomes.
Troy Nutley
Troy Nutley has been a financial services specialist lawyer since 2008 and has a range of competencies in compliance, regulatory affairs, in-house counsel and risk management roles for financial and credit services firms. Troy has worked at the Financial Ombudsman Service, the Association of Financial Advisers, a large publicly listed and vertically integrated dealer group and most recently a large national law firm.
RDLegal provides a comprehensive range of legal services for AFSL Licensees across Australia
We can assist with business and client transfers as well as representative authorisation.
We can help you prepare for regulator investigations, and represent your business in response to regulatory actions and notifications.
RDLegal can prepare your contracts and legal agreements as well as review your agreements and provide advice to protect your interests.
RDLegal can act as an independent auditor to conduct Licensee audits or complete independent reviews.
RDLegal can assist with interpreting regulatory policies and guides and provide advice in relation to how it applies to your AFSL.
RDLegal can provide advice during your AFSL application or variation process, including assisting with the supporting documentation.
RDLegal can determine the severity of a breach and design a remediation program for you to implement within your business.
Contact RD Legal
Contact Us
We have offices in Victoria and Queensland and proudly support boutique Licensees across Australia both virtually and in person.
1300 416 736
info@icompliance.com.au
Level 1
231 Glenferrie Road
Malvern VIC 3144
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