Financial Services Regulation and Funds Management
With significant transactional and regulatory experience, we offer a complete solution to financial services and funds management clients.
Our leading practice services financial services businesses in the small to medium market, including in relation to:
- wholesale and retail managed funds, across a variety of asset classes including real property, mortgages, securities/equities, agriculture, timeshare, service strata, private equity, derivatives, IDPS-like and crypto assets;
- MDAs, SMAs and IDPSs;
- non-cash payment and other digital payment facilities, including distributed ledger technology (blockchain) based systems;
- securities trading/stockbroking activities;
- financial planning activities;
- insurance and other risk management products;
- foreign exchange contracts and derivatives, including International Swaps and Derivatives Association (ISDA) Master Agreements; and
- regulated and unregulated credit activities.
Our longstanding industry experience stretches across the full lifecycle of your business, whether you are looking to set up a new financial services business or need advice in relation to your ongoing regulatory compliance.
Our areas of work include:
- Australian Financial Services Licence (AFSL) applications and variations;
- Funds management, including:
- Fund structuring and establishment;
- Registration of retail funds with ASIC;
- Disclosure documentation including product disclosure statements and information memorandums;
- Investment management agreements, custody agreements and authorised representative agreements; and
- listed investment trusts, exchange-traded funds, Corporate Collective Investment Vehicles and Asian Region Passport Funds
- Anti-money laundering and counter-terrorism financing legal compliance;
- Acquisitions and disposals of funds management and financial services businesses;
- ASIC investigations, enforcement undertakings and reportable situations;
- Regulatory compliance advice and policies;
- Australian Credit Licence (ACL) applications and variations; and
- ASX Listing Rules compliance.