10 February 2025
Promoting the provision of suitable financial products to consumers: substantial penalties ordered for breaching the Design and Distribution ObligationsRead moreTom JarvisChristopher SonesMadison Lardner
We are experts in funds management, covering all investment structures and asset classes. Our advice extends to legal issues connected with investment vehicles, platforms and fund managers themselves.
We help clients stay ahead of regulatory changes and are actively engaged with Treasury's ongoing review of the managed investment scheme laws as well as other regulatory reviews.
Our team has extensive experience advising on the full spectrum of arrangements for structured, alternative, listed and unlisted, domestic and cross-border structures, products and platforms, including:
- establishment and documentation
- design and distribution obligations
- acquisition, merger, disposal, modification, reorganisation and termination
- Australian financial services licensing
- taxation and regulatory requirements
- offer documentation, financial services guides and advertising
- disclosure obligations
- contract negotiation, compliance and outsourcing arrangements.
Work highlights
Macquarie
Macquarie Asset Management on a range of transactional and regulatory matters.
US and UK Foreign Fund Managers
Registering with ASIC to obtain an exemption from holding an Australian financial services licence.
PIMCO
Advised the Australian licenced PIMCO entities on a range of fund establishment and regulatory matters.
AllianceBernstein
Various matters, including the establishment of registered schemes.
The Capital Group
Amendments to fund constitutions.
Lighthouse Infrastructure
Structuring and establishment of wholesale funds to facilitate investment in renewable energy and social infrastructure.