Former ASIC & Treasury 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 the landscape has shifted
The December 2025 ASIC Inquiry interim report identified systemic governance failures, defensive culture, and compromised infrastructure obligations. The final report lands March 31, 2026.
- Heightened enforcement and intensified participant oversight
- ASIC reform timelines driving tougher expectations
- Multiple licensed markets shifting rule frameworks
- Infrastructure failures requiring tighter vigilance
A law firm built for this
Our principals held senior regulatory and policy roles at ASIC and Commonwealth Treasury, with direct experience in capital markets oversight and regulatory design.
Owen Rayner — 10+ years at ASIC and Treasury. Director and regulation design specialist. Senior ASIC regulator for capital market transaction compliance.
Chelsea Ta — 10+ years at ASIC. Specialist in regulatory compliance and enforcement.
How we support participants
Regulatory Readiness Assessment
Comprehensive review of your compliance framework against evolving ASX and ASIC expectations. Market integrity rule audit, client money review, risk management assessment, and gap analysis.
Get QuoteCrisis Response & Regulatory Engagement
Urgent support within 4 business hours for ASIC notices, ASX investigations, or enforcement actions. Notice analysis, evidence gathering, and defensible submissions.
Discuss Your SituationOngoing Compliance Advisory
Embedded legal and compliance support including monthly regulatory briefings, rule change impact assessments, and regulator relationship management.
Learn MoreRGC Onside — Participant Edition
Managed compliance delivery with real-time progress tracking, ASX rule change monitoring, governance hub, and expert oversight with legal escalation.
Book Service Consultation
“We understand regulatory expectations from direct oversight experience. Our clients get advice shaped by years inside the system.”
Common questions
What makes RGC different from other law firms?
Our principals spent over 10 years each at ASIC and Treasury, providing 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.
Do we need to replace our existing legal or compliance team?
No. We work alongside your team, providing specialist regulatory insight. Many participants use our services to complement internal compliance functions.
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.
Get expert 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 respond within 4 business hours for urgent compliance matters.