Regulatory Compliance Advisory & Program Development

Legal advisory services for developing and maintaining regulatory compliance frameworks for blockchain, cryptocurrency, and fintech businesses operating in Australia. While not a traditional managed compliance service, Piper Alderman provides comprehensive legal guidance on compliance program design and regulatory obligations.

Compliance Advisory Services

AML/CTF Compliance Frameworks: Legal advisory on anti-money laundering and counter-terrorism financing obligations for digital currency exchanges, wallet providers, and other cryptocurrency businesses. Includes guidance on AML/CTF program design, transaction monitoring requirements, and regulatory reporting obligations.

Privacy & Data Protection Compliance: Advisory on Australian Privacy Act compliance, GDPR requirements for blockchain applications handling personal data, and privacy frameworks for decentralized systems.

Financial Services Compliance: Ongoing legal advice on AFSL compliance obligations, conduct and disclosure requirements, and regulatory change management for licensed fintech businesses.

Regulatory Compliance Programs: Legal guidance on designing compliance frameworks, policies and procedures, governance structures, and internal control systems that meet regulatory expectations.

Regulatory Investigations & Breach Response: Legal representation in ASIC investigations, compliance breach remediation, whistleblower matters, and regulatory enforcement responses.

Compliance Policy Development: Drafting and reviewing compliance policies, procedures manuals, and governance documentation for blockchain and fintech companies.

Integrated Legal Approach

Compliance advisory is delivered by lawyers with deep expertise in financial services regulation, corporate governance, and blockchain technology, ensuring practical guidance that accounts for both legal obligations and business operations.

Note on Service Model

As a law firm, Piper Alderman provides legal advisory on compliance rather than outsourced compliance operations. Clients seeking managed compliance services or fractional compliance officer arrangements would need to engage specialized compliance service providers.