Product Providers

Product Providers

Product providers we assist include:

  • Superannuation funds
  • Banks
  • Managed Investment Schemes (Registered and unregistered)
  • MDA Providers
  • Crowd Sourced Funding Platforms
  • Peer to Peer (P2P) lenders
  • CFD Providers
  • Payment Service Providers including Non-Cash Payment Facility (NCP) issuers
  • Corporate Remitters (issuers of spot FX, Forward FX and FX Option products)
  • Insurers (Life and General Insurance)

Clients range from boutique investment managers through to global investment banks. Because we specialise in financial services, we’re well equipped to assist you from routine AFSL applications with HN Licensing, through to complex legal advice and support dealing with the regulator through Holley Nethercote Lawyers.

How we can help

  • Determining if the product you are offering is a financial product that requires licensing
  • Establishing a Managed Investment scheme – Constitution, Compliance Plan, PDS, etc.
  • Running and advising on Managed Discretionary Accounts (MDAs)
  • Licensing advice (for an Australian Financial Services Licence)
  • Assistance drafting key disclosure documents, including Product Disclosure Statements (PDSs)
  • Support to deal with the regulators
  • Custom training on issues unique to your product/sector
  • Attending and/or running Compliance Committees

Establishing an MIS

If you want to know what’s involved in establishing and running a Managed Investment Scheme (MIS), check out our expert interview with one of Holley Nethercote’s Partners, David Court.

Sign in to the HN Hub to watch the full interview.

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