Pip is an experienced funds management and financial services specialist. She has covered domestic and offshore regulated and unregulated funds, separately managed accounts, investment mandates, structured investment products, broking services and deposit products.
Prior to joining Maddocks, Pip held a number of private practice, in-house and regulatory roles, most recently at Westpac advising clients across Westpac Institutional Bank and BT Financial Group.
Pip’s areas of expertise include:
- product establishment and governance
- investment management
- custodian, distributor, broking and other service provider agreements
- business restructures, offer document preparation and due diligence
- issue of promotional material and investor communications
- regulatory licensing and ongoing compliance obligations
- client remediation and regulator engagement.
Pip has assisted clients with:
- financial product design and establishment
- offer document preparation and due diligence
- obtaining Australian financial services licences (AFSLs) and AFSL variations
- obtaining class order and bespoke regulatory exemptions
- registration of managed investment schemes
- preparing, reviewing and updating compliance, risk management and product governance framework documents
- business sales, acquisitions and transitions
- negotiating agreements for trustee, investment manager, custody, broking, registry and administration services
- responding to audit and regulator inquiries
- resolving incidents and customer complaints