Paul Derham

FinTech, Financial Advisory, Derivatives, FX, Licensing lawyer

Paul's expertise is in financial service law and commercial law.  Since 2001, Paul has assisted participants in the financial services industry in complying with their legal and compliance obligations.

At a Glance

Summary My Details
Key areas of expertise:
  • Financial Services compliance and culture
  • Money Remittance (MTOs) and global payments infrastructures
  • Digital payments
  • Over the Counter (OTC) derivatives and margin foreign exchange (MFX)
  • Anti-Money Laundering and Counter-Terrorism Financing
  • Australian Financial Services Licensing
  • Managed Investment Schemes
  • Financial Planning and Advisory
  • Conference presentations on the above areas
Types of clients:
  • Accounting Practices
  • Electronic payments businesses, and providers of stored value (e.g. eWallets) 
  • Robo advisers 
  • Digital Currency Providers and BitCoin and other cryptocurrency exchanges
  • Responsible entities of managed investment schemes (managed funds)
  • Investment managers
  • FX and derivatives traders
  • Stock broking firms
  • Meta-Trader 4 (MT4), MT5 and other direct market access (DMA) platforms
  • Global liquidity providers 
  • Financial planning dealer groups
  • Extended warranties providers
  • Online broking platforms
  • Financial educators
Admitted to practice:  2005
Career achievements:
  • Paul chairs the ADCCA's AML and Financial Crime Committee.
  • Paul co-leads a joint offering to Accounting Practice Limited Licensees with Kath Bowler and Licensing for Accountants. 
  • Paul chairs and oversees a number of industry forums, including the OTC Derivatives Compliance Forum, the Money Remitter's Compliance Forum, and the Fintech Compliance Forum (co-led with Alexis Kokkinos and Pitcher Partners).
  • Paul sits on lots of Compliance Committees for clients across the wealth management, derivatives and FX sectors.
  • Paul is an authorised external auditor pursuant to the Anti-Money Laundering and Counter-Terrorism Financing Act 2006.
Qualifications:
  • Bachelor of Laws (honours)
  • Diploma of Financial Services (Financial Planning)
  • ASX Accredited Derivatives Adviser (not yet completed)
Future aspirations:
  • Bringing together compliance managers and decision makers in financial services institutions so that they can help each other to understand Best Practice.
  • Continue to help clients stay out of court by doing the right thing.
  • Influence the regulators and law-makers to change law and policy, on behalf of clients.
Interests outside of work:  Paul's interests outside work are faith-based social justice organisations and surfing.  Paul married his gorgeous wife Sarah in 2003 and has three daughters.  
Favourite quote: “It is not the critic who counts; not the man who points out how the strong man stumbles, or where the doer of deeds could have done them better. The credit belongs to the man who is actually in the arena, whose face is marred by dust and sweat and blood; who strives valiantly; who errs, who comes short again and again, because there is no effort without error and shortcoming; but who does actually strive to do the deeds; who knows great enthusiasms, the great devotions; who spends himself in a worthy cause; who at the best knows in the end the triumph of high achievement, and who at the worst, if he fails, at least fails while daring greatly, so that his place shall never be with those cold and timid souls who neither know victory nor defeat.” ~ Roosevelt

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