Financial Services Regulation and Funds Management
Supporting financial services and funds management businesses
Whether setting up a new financial services business or ensuring ongoing regulatory compliance, we work closely with businesses to address their challenges with responsive, strategic, and cost-effective advice, always.
We understand the complexities of financial services and funds management
With a proven track record in the small to medium market, our lawyers are embedded in the industry and equipped to guide you through every aspect of your financial services and funds management needs. From managed funds to financial planning and foreign financial service providers, we have extensive experience in:
- wholesale and retail managed funds, covering diverse asset classes such as real property, mortgages, securities/equities, agriculture, timeshare, serviced strata, private equity, derivatives, IDPS-like, and crypto assets;
- managed discretionary accounts (MDAs), separately managed accounts (SMAs) and investor directed portfolio services (IDPSs);
- non-cash and other digital payment facilities, including distributed ledger technology (blockchain) based systems;
- securities trading, financial planning, insurance and risk management products;
- foreign exchange contracts and derivatives;
- anti-money laundering and counter-terrorism (AML/CTF) regulation; and
- regulated and unregulated credit activities.
Focused on supporting financial services providers to deliver value and ensure compliance
At the heart of our approach is a seamless, integrated service, combining expertise from both our regulatory and contentious regulatory teams. From licence applications and funds structuring to investigations and enforcement matters, our comprehensive services include:
- Australian Financial Services Licence (AFSL) applications and variations;
- funds management, including:
- fund structuring and establishment;
- registration of retail funds with the Australian Securities and Investments Commission (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.
- AML/CTF compliance, including preparation of AML/CTF programs and independent reviews;
- 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
- Australian Securities Exchange (ASX) Listing Rules compliance.
To find out more, contact Tim Wiedman and Natalie Kurdian
Your financial services regulation and funds management team
Let us keep you across the latest developments