A Focus on Financial Planners

The law regulating financial planners is extensive and significant changes are made from time to time. Yet the law is intended to be feasible in its compliance regardless of the size of the business affected.

GreenHouse is focussed on helping financial planning firms that need external guidance on creating, adapting and maintaining compliance mechanisms. Our main approach is to provide cost-effective guidance that make sense to such firms as well as to regulators. Navigating the Law for Financial Planners in Australia is our current program of self-paced guidance and professional development.

Principal contributors

Angela Longo

Partner, Greenfields Financial Services Lawyers

Angela specialises in corporate governance and financial services law. She has, for over 25 years, guided financial institutions in corporate governance and compliance management practices in the face on mounting and changing regulatory obligations and stakeholder expectations. Angela previously developed and advised on regulatory policy at the Australian Securities and Investments Commission. Her deep technical expertise and nuanced sense of what matters to regulators have been invaluable to clients in navigating and managing relationships with regulators.

Daniel Levy

Partner, Greenfields Financial Services Lawyers

Daniel specialises in helping clients meet contractual obligations and the requirements of financial services and company law. For more than 25 years he has worked closely with large companies and small firms to establish and implement management strategy and systems directed at ensuring compliance with such obligations in ways that fit the client's business needs.

Francis Ong

Partner, Reliability House risk consultants

Francis has, for over 25 years, developed and delivered significant risk management, compliance and governance solutions across business types and geographies, with strong buy-in from executive management and Boards, and to the satisfaction of regulators. He has a practical understanding of both the regulatory mindset and the commercial imperative. His corporate regulation experience includes developing regulatory policies and leading compliance assessments of financial services firms. His commercial experience includes establishing enterprise risk management and assurance programs, leading projects to identify and remediate organizational-wide problems, and creating trusted regulatory relationships.
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