Past Projects

Superannuation Providers

  • prepared AFS Licence application for innovative on-line superannuation provider.

Property Funds (Listed and unlisted)

  • company secretarial and governance services for ASX-listed staple securities managed fund in hospitality and facility management
  • obtained AFS licence for responsible manager of rural property fund
  • contributed to internal governance system of rural property fund, delivered training to directors, annually liaising with auditors
  • chaired independent compliance committee of diversified property group
  • advised on and prepared application for National Credit Licence

Financial Advisors

  • advised financial advisors on distribution agreements, licensing and compliance matters

Brokers

  • prepared successful AFS licence application for Melbourne-based wealth management and e
xecution – only brokingc ompany, and subsequent variations
  • prepared successful AFS licence application for Melbourne-based specialist broking house,part o
f an international group with FSA and Hong Kong SFE registration and advised on firm-wide compliance system

Fund Managers

  • prepared successful AFS licence application for Melbourne-based global hedge fund manager, a
nd subsequent variations.

Investment Managers

  • prepared successful AFS licence variation for asset manager, advised on internal compliance 
system and advised on investment agreement with client
  • prepared successful AFSL application and variations for investment manager servicing l
isted investment companies, advised on internal compliance and delivered compliance training to internal staff and directors

Corporate Advisors

  • prepared successful AFS licence application for corporate advice business, developed and 
delivered training to staff and advised on subsequent variations.
  • prepared AFS licence variation and compliance manual for corporate advice business

Equine Breeders

  • advised on establishment of equine breeding fund