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Ivan Yau


Ivan Yau


T:+61 2 9330 8724

Ivan Yau is a financial services risk advisory lawyer based in Sydney.

He acts for Australian and international clients to successfully navigate through Australia's rigorous financial services regulatory regime, and advises on a range of financial product solutions aimed at wholesale and retail investors.

This includes providing legal and regulatory solutions to financial institutions and prudentially-regulated entities on a range of matters including structuring, licensing, compliance, risk management, remediation, the Banking Executive Accountability Regime, Anti-Money Laundering and Counter-Terrorism Financing law, Consumer Data Right and Open Banking, superannuation law, as well as the operation of funds and managed investment schemes (including listed and exchange traded funds).

A large part of Ivan's practice is to provide FinTech and RegTech clients with whole-of-project assistance in terms of structuring and implementing strategies that allow businesses to take advantage of modern disruptive technologies whilst complying with Anti-Money Laundering and Counter-Terrorism Financing, cyber-security, privacy, data breach notification and other FinTech related laws and regulations across multiple jurisdictions. This includes advising clients with respect to crypto-assets and the use of blockchain technologies for compliance.

Ivan brings a wealth of experience in dealing with high-risk and crisis management as well as large-scale operations, and provides our clients with holistic, effective and streamlined solutions to their financial services, FinTech or RegTech matters.

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  • Education
    • Juris Doctor, University of New South Wales, Australia (and University of Copenhagen, Denmark).
    • Master of International Law and International Relations, University of New South Wales, Australia.
    • Graduate Diploma in Education, Charles Sturt University, Australia.
    • Bachelor of Computer Science and Diploma in IT Professional Practice, University of Techology Sydney, Australia.
  • Admissions
    • High Court of Australia 2016
    • Supreme Court of New South Wales 2016
  • Publications
    • "A Focus on Compliance", Independent Financial Adviser Magazine, 5 April 2017.
    • "Extending data protection protocols for financial institutions: A reminder to hold third party service providers accountable", Regulation Tomorrow, 27 October 2017.
    • "Royal Commission into Misconduct in Financial Services", Regulation Tomorrow, 30 November 2017.
    • "Changing the digital currency game: new laws to regulate Bitcoin in Australia", Regulation Tomorrow, 7 December 2017.
    • "Australian financial institutions may see greater involvement in counter terrorism financing efforts", Regulation Tomorrow, 22 January 2018.
    • "Listed funds holding crypto-assets: ASX's position", Regualtion Tomorrow, 25 February 2018.
    • "Taking a byte at financial crime: New AML/CTF guidance and timelines for digital currency exchanges", Regulation Tomorrow, 16 April 2018.
    • "ASIC updates INFO 225: Corporate Regulator bytes back at misleading and deceptive ICOs", Regulation Tomorrow, 1 May 2018.
    • "What Australian financial institutions need to know about cybersecurity and responding to cyber-attacks", Regulation Tomorrow, 28 May 2018.
    • "Regulating initial coin offerings and cryptocurrencies: bit-by-bit", Financial Services Newsletter (Lexis Nexis), Vol 17 No.4, June 2018.
    • "Australian financial services and sanctions law", Regulation Tomorrow, 19 July 2018 (re-published by Enforcd EDB Insight 19 September 2018).
    • "Consumer Data Right and Open Banking: Government moves forward on legislation", Regulation Tomorrow, 12 November 2018.
  • Speaking engagements
    • "Navigating regulatory compliance in a 'best interest' world", The Alpha Group Conference held at the Crowne Plaza Queenstown, New Zealand on 4 October 2017.
    • "Crack the Code: How Data Science and Graph Analytics can help fight Financial Crime", Financial Crime & Compliance Roundtable hosted by Oracle Financial Services as part of Sibos 2018) at the Hyatt Regency Sydney, Australia on 24 October 2018.
  • Memberships and activities
    • Judiciary and Integrity Committee member at the NSW Suburban Rugby Union.
    • Pro Bono Solicitor at the Kingsford Legal Centre.
  • Languages
    • Cantonese
    • English