Financial Services Lawyer

Samantha Hills

LinkedinSenior Associate

Sam works primarily in the area of financial services law.  Her clients are typically financial services licensees, including financial planning dealer groups and fund managers.

Admitted to Practice


Key Areas of Expertise

  • Advising financial services licensees – for example, in relation to disclosure requirements
  • Chairing compliance committees
  • Conducting licensee reviews
  • Running training sessions

Career Achievements

  • For many years, Sam edited and contributed a substantial amount of content to T-REX, a subscription-only tailored monthly regulatory exchange, published by Holley Nethercote


  • Arts (Hons) and Law (Hons) from University of Melbourne, completed in 2003

Favourite Quote

“I cannot swim in this sea of semantic exercises.” Lord Denning MR said this in one of his judgments.  I often feel the same way!

My Thoughts

High Court to provide clarity on the meaning of Personal and General Financial Product advice

27 Aug 2020

The High Court of Australia is set to provide clarity as to when the line will be crossed between the giving of general financial product advice and the giving of personal financial product advice. Westpac…

I’m a Responsible Manager. What does this mean?

15 Apr 2020

We regularly train Responsible Managers (“RMs”) of AFS licensees to help them better understand their role.  Many RMs are curious to know what they have to do and whether they are personally exposed.  To get a handle…

Regulatory Developments – All that you can’t leave behind

31 Jan 2020

As you turned the corner into 2020, you might have been grateful to leave the events of 2019 behind you.  But regulatory developments in 2019 will drive the agenda in 2020 and beyond. We asked…

Directors duties of a responsibility entity

05 Sep 2019

Need a hand with understanding your duties as director of a responsible entity? Check out this case that made it all the way to the High Court. The case In the case, a responsible entity…

Protecting your AFSL from advisers who breach

04 Sep 2019

Being able to sever ties with an adviser who is causing you to breach your AFSL obligations is an important consideration for licensees. AR agreements and internal auditors You should be sure that your authorised…

Essential things you should know about contracts

03 Sep 2019

Even if you engage lawyers to draft or review your contracts, there are some essential things you should know. 1. The contract document does not necessarily reflect the whole agreement Even if its heading includes…