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      Part II: ASIC’s initial set of questions for businesses considering the use of distributed ledger technology (DLT)

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      Part I: ASIC’s initial set of questions for businesses considering the use of distributed ledger technology (DLT)

      By Terence Wong in  
      Financial Services Law Fintech



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      Company Profile

      Holley Nethercote was created by Grant Holley and Tim Nethercote in March 1995.

      In 1994, Grant Holley was a member of the Victorian Bar providing advice and advocacy services to solicitors and their clients. His practice was primarily commercial and corporate ...

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Client Testimonials

“I just wanted to let you know that I have dealt with some major firms over the years ([two top tier firm names removed], etc) because the nature of the institutions that I worked for seemed to think that the major profile firms were necessary for financial services law.  However, I would have to say that the calibre of thinking and the experience shown by your firm is of equivalence, and the quality of the service superior, to what I have seen from other firms.  Internally, [name removed] and the Product team have been extremely impressed.”

Lucille Bennetto, Executive Manager Risk & Compliance, Industry Fund Services Limited

“As a Franchisor we need lawyers with expertise in franchising law, intellectual property and to help us with our general commercial legal questions as they arise. Holley Nethercote has provided practical and timely advice to us for the last 17 years, assisting our expansion throughout Australia and internationally.”

Rob Sasse, Managing Director, Toddler Kindy Gymbaroo Pty Ltd

“We found HN Law to be very professional. They provided succinct and timely expert advice in our area of need and the fees were commensurate with the advice received.”

Andrea Slattery, Chief Executive Officer, SPAA

“Sinclair Wilson Investment Services is a boutique financial planning practice in Western Victoria. As a self licensed entity we are constantly challenged by the ever changing landscape of legislation and have been fortunate to have the reliable and professional team at Holley Nethercote to assist us with these very complex issues. We have had a number of instances where we have required assistance with business endeavours that are entrepreneurial and complex in regard to licensing requirements. Holley Nethercote have been outstanding in their assistance and expertise in areas that could be regarded as sitting outside of mainstream.”

Les Batchelor, Managing Director, Sinclair Wilson Investment Services Pty Ltd

“For an AFSL holder it would be difficult to find a better firm than Holley Nethercote. They marry legal expertise with industry knowledge and networks, and then overlay that with clear advice and exceptional communication and training. They have proven invaluable to us.”

Paul Harding-Davis, CEO, Premium Wealth Management Ltd

“We enjoy the simplicity of language that HN bring to their legal advice. Their commercial approach provides us with clear steps to meet our ongoing regulatory obligations. They are experts in the AFSL and ACL field and the innovators and masters of mindmaps and checklists. Thank you for your guidance.”

Margaret Mote, Chief Operating Officer, Bongiorno & Partners (Vic) Pty Ltd

“We have used Holley Nethercote for various engagements and are extremely happy with the results that we have obtained, so much that we have engaged them on an exclusive basis for ongoing support with our compliance obligations. The team are all well versed in all areas of financial services law and provide a great sounding board for all issues encountered.”

Marcelo Fernandez, Chief Financial Officer, TFS Operations Pty Ltd

“My legal requirements are always handled promptly and efficiently and the team at HN are pleasurable to deal with. Their service and advice is highly valuable for my business.”

David Cowen, Director, Australian Professional Finance Pty Ltd

“I have been working with Holley Nethercote for 2 years now, and find them to be responsive, quick, and very knowledgeable. The lawyers and staff I deal with have comprehensive understandings about specific areas of financial services law, regulation and compliance, and find innovative ways to keep clients informed and up to date.”

Greg Morgan, Managing Director, Velocity Trade Ltd

“I was delighted with the service Holley Nethercote has provided to me while procuring an AFSL for McGing Advisory & Actuarial. As well as the licence coming through in record time, the staff at HN were everything a service provider should be - courteous, good listeners, had a good sense of urgency, did their research thoroughly, obtained review/view from others when appropriate, and most noticeably kept in constant touch by phone as well as email.”

Sean McGing, Director, McGing Advisory & Actuarial

“I’ve worked with a variety of people at Holley Nethercote over the last six years. Each and every person I’ve dealt with has been extremely knowledgeable, quick to respond and personable. I wouldn’t consider taking my business elsewhere because they deliver exceptional value time and again without fail.”

Alex Eadie, Executive Vice President, Operations & Compliance, FIRMA Foreign Exchange Corporation

“Thank you everyone to make our application happen so quickly - and also addressing a couple of other issues along the way (s260, FoFA advice, ACL advice).  And this is during a period when you are flat out assisting all your other clients re FoFA.  Your hard work, dedication and professionalism has been very much appreciated.”

Alan Krakouer, Director, Strategic Financial Management Ltd

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        • Australian Financial Services Licence (AFSL) Licensee Reviews
        • Legal Advice on Capital Raising Regulatory Issues
        • Adviser and Representative Reviews
        • Compliance Committees
        • Compliance Manuals and Templates
      • Dealing with the Regulator
        • Australian Financial Services Licence (AFSL) Applications and Variations
        • Enforceable Undertakings, ASIC & ACCC Liaison
        • Breach Reporting
        • Relief Applications, Class Orders & ASIC Consultation
        • Future of Financial Advice (FOFA), Financial Services Law & FSR
      • Business Types
        • Financial Planning Dealer Groups & Stock Brokers
        • Managed Investment Schemes & Responsible Entities
        • Contracts For Difference (CFDs) & Margin Foreign Exchange (FX)
        • Superannuation Funds
        • Accountants, Limited Australian Financial Services Licence (AFSL)
        • FinTech (Financial Technology) – P2P lending, Digital Currency, Crowdfunding, Robo-Advising, Robo-Investing
        • Foreign Exchange (FX) Money Remitters
        • Managed Discretionary Account (MDA) Operators
    • Consumer Credit Law
      • Compliance
        • Compliance Package
        • Australian Credit Licence (ACL) Responsible Managers
        • Australian Credit Licence (ACL) Licensee Reviews
        • Representative Reviews
        • Compliance Committees
        • Compliance Manuals and Templates
      • Dealing with the Regulator
        • Australian Credit Licence (ACL) Applications and Variations
        • Enforceable Undertakings, ASIC & ACCC Liaison
        • Relief Applications and Consultation
        • Credit Law & NCCP Act
      • Business Types
        • Mortgage Brokers
        • Mortgage Funds / Mortgage Managers
    • Disputes
      • Tribunals
        • Financial Ombudsman Service Ltd (FOS)
        • Credit & Investments Ombudsman (CIO) (formerly Credit Ombudsman Service Ltd (COSL))
        • VCAT
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        • Partnership Agreements
        • Shareholder Agreements
        • Company Constitutions
        • Franchising
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      • Competition and Consumer Law (previously Trade Practices Law)
        • Product Recalls
        • External Audits
        • Preparation of Compliance Programs
        • Enforceable Undertakings
        • Compliance Committees
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