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Nicholas Lim

高级律师

nicholas.lim@hhlaw.com.au

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Nicholas 是一位资深的银行监管律师，专注于金融服务监管、合规咨询及执法事务。拥有超过10年的丰富经验，他为国内外银行及金融机构提供复杂监管框架的合规指导，并协助应对不断变化的监管要求。 Nicholas 还为客户提供广泛的监管问题咨询，包括牌照申请、公司治理、反洗钱（AML）、审慎标准、业务行为规范及监管调查。 加入H & H律师事务所之前，Nicholas 曾担任悉尼Westpac的集团合规团队的高级经理，领导多个政策、牌照及治理相关项目。他还曾在新西兰金融市场管理局（相当于澳大利亚审慎监管局APRA）的资本市场团队工作，以及在新西兰内政税务局（相当于澳大利亚税务局ATO）的税务起诉与征收团队任职。 Nicholas 毕业于奥克兰大学，获得法律及商业（会计）学士学位，持有新南威尔士州及新西兰的执业律师资格，以及曾为注册会计师（CPA）。

专长

经验

  • 银行业务中合规框架的运营与发展，以及风险状况监控。

  • 监控AFLS、ACL及审慎牌照相关合规事项，包括适任性与程序流程及年度报告。

  • 就金融服务监管的变更和更新提供咨询。

  • 就复杂的金融市场披露法规提供建议。

学历

  • 法学学士，奥克兰大学

  • 商学学士（会计），奥克兰大学

会员资格

  • 新南威尔士州律师协会

  • 亚洲澳大利亚律师协会（AALA）

  • LAWASIA

  • 亚太律师协会（IPBA）

专长

资质

  • 新南威尔士州最高法院执业律师

  • 新西兰高等法院大律师及律师

  • 注册会计师（CPA）

语言

  • English

法律咨讯

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事务所动向

H & H Lawyers hosts a seminar: “Navigating New Regulatory Landscape: Essential Updates for Foreign ADIs”

We were pleased to host Korean Foreign ADIs at H & H Lawyers for our seminar, “Navigating New Regulatory Landscape: Essential Updates for Foreign ADIs”.Thank you to our speakers Nicholas Lim and David Sullivan (Former Senior Manager at APRA) for practical guidance on CPS 230 (Operational Risk Management), CPS 511 (Remuneration Standards for Foreign ADIs), and the AML/CTF Amendment Act 2024 (Enhanced AML/CTF obligations for Foreign ADIs).We appreciate the strong engagement and look forward to continuing to support Korean banks operating in Australia with pragmatic compliance solutions. For materials or tailored briefings, please contact our Banking & Financial Services team.

12 Sep 2025

事务所动向

H & H Lawyers welcomes Nicholas Lim

We are thrilled to announce that Nick Lim has joined our Banking & Financial Services team as a Senior Associate. Nick brings over 13 years of financial services compliance expertise, having most recently served as Senior Manager Compliance – Licensing at Westpac Bank. His dual qualification as both a lawyer and accountant provides our clients with exceptional regulatory insights across AFSL, ACL and ADI frameworks. With significant experience at Westpac, the Financial Markets Authority (NZ), and extensive work with regulators including APRA, ASIC and AUSTRAC, Nick strengthens our ability to navigate the complex regulatory landscape affecting financial institutions. Connect with Nick to discuss your banking, financial services and compliance needs.

21 May 2025