About Us

We work collaboratively with our clients to build strong, sustainable relationships. Our team is committed to delivering consistent high standards of service, and we understand the importance of accessibility. Working with us, you'll enjoy open communication, meaning well scoped, properly resourced and effectively managed matters.

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Latest Case

Providing strategic advice on expansion structures November 16, 2018

Founded in Bondi Beach in 2012, Bailey Nelson has rapidly grown into a global eyewear retailer and service provider with boutiques in Australia, London, Canada and New Zealand. The strong demand for their products and … Continued

Latest News

Winner of William Ah Ket Scholarship 2019 announced October 9, 2019

Wednesday 9 October 2019 A Victorian lawyer has been named this year’s winner of the William Ah Ket Scholarship. Tienyi Long, a legal and governance officer at Glen Eira City Council in Melbourne, was awarded … Continued

Latest Article

Final changes to the ASX Listing Rules announced October 15, 2019

On 10 October 2019 the Australian Securities Exchange (ASX) released its response to feedback received on its consultation paper ‘Simplifying, clarifying and enhancing the integrity and efficiency of the ASX listing rules’, together with the … Continued

Financial Services

Our Financial Services team advises a range of industry clients including fund managers, superannuation funds, corporate trustees, life insurers, health insurance funds, asset consultants and custodians. We collaborate with other specialists within the firm to provide pragmatic, efficient and comprehensive legal solutions to regulatory and transactional issues.

Funds Management

Our team advises on a full range of issues reflecting the managed fund lifecycle, including:

  • Establishment of wholesale and retail managed funds, registration and licencing of responsible entities, advice concerning regulation of managed funds
  • Preparation and review of information memoranda and product disclosure statements, advice in relation to regulatory issues, liaising with ASIC.

Mergers and acquisitions

  • Restructure and re-organisation of managed funds; mergers, acquisitions and disposals
  • Asset divestment, responsible entity replacement, refinancing of managed funds and advice concerning financially distressed managed funds.

Licencing and regulatory

  • Issue and variation of Australian Financial Services Licences
  • Dispute resolution, regulatory issues, breach notices and inquiries initiated by ASIC.

Disclosure documents

  • Preparing and reviewing information memoranda and product disclosure statements and advising on compliance with disclosure requirements generally and member reporting.

Litigation and Dispute Resolution

  • Strategic advice on initiation and defence of proceedings in the funds management and superannuation sphere; general conduct and stewardship of proceedings.

Corporate Governance

  • Advice in relation to corporate governance issues, conflicts of interests and duty, delegations, codes of conduct and meeting protocols
  • Risk management and advice concerning regulatory issues arising with the regulator, ASIC.

Wholesale Funds

We can provide advice on the establishment of wholesale funds and the preparation and review of information memoranda and disclosure material.

We have experience in the establishment of all types of wholesale funds, including:

  • Significant Investor Visa (SIV) Funds
  • Property Trusts
  • Infrastructure (Utilities) Trusts
  • Mortgage Funds
  • Fixed Interest (cash, bonds) and Equity Funds
  • Special purpose investment vehicle funds.

We also advise in relation to the licencing and regulatory requirements applicable to wholesale funds, trustee corporate governance and risk management.

Financial Planning

  • Advice in relation to acquisition and disposal of financial planning practices, structuring of financial planning businesses and service offerings, documentation and negotiation of member firm arrangements and representative appointments.
  • Compliance and regulation advice on financial services including services disclosure, Freedom of Financial Advice reforms, reporting obligations and application for and variations of Australian Financial Services licences.

Investments and Private Equity – Structuring

  • Legal and tax due diligence of acquisitions and divestments of interests in collective investment and other private equity structures (equities, alternative investments, property, infrastructure)
  • Establishment of special purpose investment vehicles, shareholder joint venture and partnership style arrangements
    Outsourcing – Investments, Custody and Administration
  • Investment mandates, investment management agreements, equities, fixed interest, infrastructure), transition manager agreements
  • Currency overlay and derivative hedge agreements, custody and administration services agreements.

Derivatives

  • Development of risk management provisions for Exchange Traded Over The Counter derivatives to control their use and to place counterparties on notice of any limitations and constraints
  • Legal analysis of futures trading arrangements.

Property Investment

  • Advising on all aspects of real estate acquisitions, including property due diligence and negotiating, exchanging and settling a variety of acquisition models, corporate and tax structuring advice, joint venture and property development agreements, property finance, master leasing documentation and construction documentation.

 

Our Financial Services team advises a range of industry clients including fund managers, superannuation funds, corporate trustees, life insurers, health insurance funds, asset consultants and custodians. We collaborate with other specialists within the firm to provide pragmatic, efficient and comprehensive legal solutions to regulatory and transactional issues.

Funds Management

Our team advises on a full range of issues reflecting the managed fund lifecycle, including:

  • Establishment of wholesale and retail managed funds, registration and licencing of responsible entities, advice concerning regulation of managed funds
  • Preparation and review of information memoranda and product disclosure statements, advice in relation to regulatory issues, liaising with ASIC.

Mergers and acquisitions

  • Restructure and re-organisation of managed funds; mergers, acquisitions and disposals
  • Asset divestment, responsible entity replacement, refinancing of managed funds and advice concerning financially distressed managed funds.

Licencing and regulatory

  • Issue and variation of Australian Financial Services Licences
  • Dispute resolution, regulatory issues, breach notices and inquiries initiated by ASIC.

Disclosure documents

  • Preparing and reviewing information memoranda and product disclosure statements and advising on compliance with disclosure requirements generally and member reporting.

Litigation and Dispute Resolution

  • Strategic advice on initiation and defence of proceedings in the funds management and superannuation sphere; general conduct and stewardship of proceedings.

Corporate Governance

  • Advice in relation to corporate governance issues, conflicts of interests and duty, delegations, codes of conduct and meeting protocols
  • Risk management and advice concerning regulatory issues arising with the regulator, ASIC.

Wholesale Funds

We can provide advice on the establishment of wholesale funds and the preparation and review of information memoranda and disclosure material.

We have experience in the establishment of all types of wholesale funds, including:

  • Significant Investor Visa (SIV) Funds
  • Property Trusts
  • Infrastructure (Utilities) Trusts
  • Mortgage Funds
  • Fixed Interest (cash, bonds) and Equity Funds
  • Special purpose investment vehicle funds.

We also advise in relation to the licencing and regulatory requirements applicable to wholesale funds, trustee corporate governance and risk management.

Financial Planning

  • Advice in relation to acquisition and disposal of financial planning practices, structuring of financial planning businesses and service offerings, documentation and negotiation of member firm arrangements and representative appointments.
  • Compliance and regulation advice on financial services including services disclosure, Freedom of Financial Advice reforms, reporting obligations and application for and variations of Australian Financial Services licences.

Investments and Private Equity – Structuring

  • Legal and tax due diligence of acquisitions and divestments of interests in collective investment and other private equity structures (equities, alternative investments, property, infrastructure)
  • Establishment of special purpose investment vehicles, shareholder joint venture and partnership style arrangements
    Outsourcing – Investments, Custody and Administration
  • Investment mandates, investment management agreements, equities, fixed interest, infrastructure), transition manager agreements
  • Currency overlay and derivative hedge agreements, custody and administration services agreements.

Derivatives

  • Development of risk management provisions for Exchange Traded Over The Counter derivatives to control their use and to place counterparties on notice of any limitations and constraints
  • Legal analysis of futures trading arrangements.

Property Investment

  • Advising on all aspects of real estate acquisitions, including property due diligence and negotiating, exchanging and settling a variety of acquisition models, corporate and tax structuring advice, joint venture and property development agreements, property finance, master leasing documentation and construction documentation.