A LAW FIRM FOUNDED BY FORMER ASIC AND TREASURY SENIOR REGULATORS
ASX Market Participant Regulatory Support
Recent ASIC Inquiry findings have intensified participant oversight. Work with former regulators who know the compliance frameworks and expectations.
Why ASX Participants Need Expert Regulatory Support
The regulatory landscape for ASX Market Participants has fundamentally shifted. The December 2025 ASIC Inquiry interim report identified systemic governance failures, defensive culture, and compromised infrastructure obligations.
Heightened enforcement
ASX is under pressure to demonstrate control through intensified participant oversight.
Regulatory uncertainty
ASIC Inquiry findings, capital charges, and reform timelines are driving tougher expectations.
Competition pressure
Multiple licensed markets are shifting rule frameworks and compliance obligations.
Infrastructure risk
Operational failures across market infrastructure mean participants must tighten vigilance.
A Law Firm Founded by Former ASIC and Treasury Regulators
RGC Advisory is a law firm specialising in governance, regulation, and compliance. Our principals held senior regulatory and policy roles at ASIC and Commonwealth Treasury, with direct experience in capital markets oversight, listed entity compliance, and regulatory design.
Owen Rayner — 10+ years at ASIC and Treasury. Director and regulation design specialist at Treasury. Senior ASIC regulator responsible for capital market transaction compliance oversight.
Chelsea Ta — 10+ years at ASIC. Specialist in regulatory compliance and enforcement.
Our expertise includes:
- Capital markets transaction compliance and disclosure obligations
- Market integrity rule frameworks and enforcement
- Listed entity oversight and continuous disclosure
- Mining and resources sector transactions and disclosures
- Regulatory design and policy development
How We Support ASX Participants
Regulatory Readiness Assessment
A comprehensive review of your compliance framework against evolving ASX and ASIC expectations.
- Market integrity rule compliance audit
- Client money and asset protection review
- Risk management framework assessment
- Governance structure evaluation
- Gap analysis and remediation roadmap
Crisis Response & Regulatory Engagement
Expert support when you receive ASIC or ASX compliance notices, investigation letters, or enforcement actions.
- Urgent response within 4 business hours
- Notice analysis and response strategy
- Evidence gathering and documentation
- Professional regulator engagement
- Defensible submissions and remediation plans
Ongoing Compliance Advisory
Embedded legal and compliance support to navigate regulatory change as it happens.
- Monthly regulatory update briefings
- Rule change impact assessments
- Compliance program maintenance
- Regulator relationship management
RGC Onside Platform -
Digital compliance platform with ASX market integrity monitoring, ASIC reporting automation, and regulatory advisory support.
- Automated ASX rule change monitoring
- ASIC reporting deadline tracking and templates
- Client classification and appropriateness workflows
- Best execution monitoring tools
- eLearning and training resources
- Regulatory advisory AI assistant
- Access to specialist legal support when needed
Why ASX Participants Work With RGC Advisory
Our Principal, Owen Rayner, spent over 10 years at ASIC and Commonwealth Treasury. This direct regulatory experience provides deep insight into ASIC's approach to enforcement and ASX participant obligations.
- Direct experience in ASIC capital markets oversight and enforcement
- 10+ years each at ASIC and Treasury across our principals
- Deep understanding of market integrity frameworks and compliance obligations
- Proven track record supporting participants through regulatory matters
RGC Onside: Built by Former Regulators
RGC Onside combines regulatory expertise with technology to provide comprehensive participant compliance support.
Market Integrity Rule Tracking
Monitor rule changes and map impacts to your obligations with automated alerts.
ASIC Reporting Automation
Templates and workflows for reports, breach notifications, and compliance attestations.
Compliance Workflow Controls
Guided processes for client classification, best execution, and conflict management.
Regulatory Advisory AI Assistant
Instant guidance on market integrity rules and regulatory expectations.
Prepare for Evolving Regulatory Expectations
The final ASIC Inquiry report lands March 31, 2026. ASX participant compliance frameworks will face increased scrutiny throughout the transformation period.
Work with a law firm that understands both the regulatory requirements and how ASIC approaches participant oversight.
We respond within 4 business hours for urgent matters.
Our Approach to Participant Compliance
Assess & Strategize
We analyse your current compliance posture against ASIC expectations and develop a tailored strengthening strategy that protects your interests.
Execute & Document
Our team implements compliance improvements with full documentation. We handle regulator engagement professionally throughout.
Monitor & Adapt
Ongoing monitoring of regulatory developments keeps you ahead of change.
Regulatory change is accelerating. We help you build resilient compliance frameworks without crisis.
Common Questions
What makes RGC different from other law firms?
We're a specialist law firm founded by former ASIC and Treasury regulators with direct experience in capital markets oversight. Our principals spent over 10 years each at ASIC and Treasury, providing us with deep insight into regulatory expectations and enforcement approaches.
How quickly can you respond to urgent compliance matters?
Within 4 business hours for urgent situations such as ASIC notices, ASX investigations, or enforcement actions. For readiness assessments, we typically begin within one week.
Do we need to replace our existing legal or compliance team?
No. We work alongside your team, providing specialist regulatory insight and support. Many participants use our services to complement internal compliance functions and external legal counsel.
What if we receive an ASIC investigation notice?
Contact us immediately. We'll analyse the notice, develop a response strategy, and handle professional engagement with ASIC. Our background as former regulators provides insight into investigation processes and regulatory expectations.
Can you help with ASX rule change implementation?
Yes. We monitor ASX rule changes, assess impacts on your operations, and develop implementation plans. This is included in our ongoing advisory service and the Onside platform.
Get Expert ASX Participant Advisory
The regulatory environment for ASX participants is evolving. Work with a law firm that understands both the obligations and the regulatory approach.
We typically respond within 4 business hours for urgent compliance matters.