Trudi is a dedicated corporate and financial services lawyer who advises on all facets of financial services regulation and compliance. She has extensive experience in investment funds management and her capability stretches across the full business lifecycle of her clients, from setting up new financial services businesses and funds, to ongoing regulatory compliance.
Trudi has a particular interest in payment systems and acts for non-cash payment and BaaS providers.
In addition to providing financial services regulatory advice, she also acts for funds managers, financial planners, and other Australian financial services licensees on commercial transactions including acquisitions and disposals of scheme assets. Trudi has several listed fund clients and advises them on listing rule compliance (ASX and NSX) and continuous disclosure.
Trudi has an enviable mix of international and domestic expertise, having worked in London’s corporate finance arena at one of the leading investment management practices in the English market. Previously, she was in-house counsel at an Australian bank, specialising in back-office treasury products including ISDAs.Trudi is knowledgeable and approachable, and works efficiently to advise on the most advantageous way forward for her clients.
Trudi’s experience includes:
- establishing and ongoing administration of unregulated, unregistered, registered and ASX listed managed investment schemes;
- preparing and reviewing disclosure documents, financial services guides, statements of advice, authorised representative agreements and investment management agreements;
- advising foreign financial service providers on the regulatory requirements associated with promotion and distribution of overseas funds and financial products to Australian investors;
- assisting clients to obtain and vary Australian financial services licences (AFSLs) and Australian credit licences (ACLs);
- advising electronic and digital payment, digital wallet and other non-cash payment providers on the application of the Corporations Act, Payment Systems Act and AML/CTF legislation to their products;
- responding to ASIC notices and advising clients in relation to ASIC investigations;
- advising financial service and credit providers on the application of AML/CTF Act and ongoing compliance advice, including independent AML/CTF program reviews;
- acting for Australia listed fund entitlement offers and advising on listing rule compliance;
- chairing unitholder meetings;
- acting for fund managers on the acquisition and disposal of fund assets;
- advising on acquisitions and disposals of funds management and financial services businesses; and
- advising on the application of Australian financial services and corporate regulation to cryptocurrency providers for initial coin offerings (ICOs) and advising digital currency (cryptocurrency) exchange providers on their AML/CTF legislation obligations.