Financial Services Regulation and Funds Management
With significant transactional and regulatory experience, we offer complete solutions 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.
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