Product Providers

Product Providers

Product providers we assist include:

  • Superannuation funds
  • Banks
  • Managed Investment Schemes (Registered and unregistered)
  • Corporate Collective Investment Vehicles (wholesale and retail)
  • MDA Providers
  • Crowd Sourced Funding Platforms
  • Peer to Peer (P2P) lenders
  • CFD Providers (including providers of crypto-based derivative products including perpetual futures products)
  • Payment Service Providers including Non-Cash Payment Facility (NCP) issuers and providers who rely on distributed ledger technologies and crypto-asset intermediaries
  • Corporate Remitters (issuers of spot FX, Forward FX and FX Option products)
  • Insurers (Life and General Insurance)
  • Other DeFi and CeFi protocol providers

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.

Design and Distribution Obligations

We assist AFS licensees, authorised representatives, credit licensees and credit representatives to meet their design and distribution obligations.

Whether you’re launching a new product, engaged in product distribution or reviewing your current arrangements, we can assist you with every step of the process.

These obligations require (AFSL and ACL) licensees to ensure they maintain a consumer-centric approach when designing and distributing products.

The design and distribution obligations require licensees to:

  • design and distribute products that are likely to be consistent with the likely objectives, financial situations and needs of consumers; and
  • target products to consumers who would benefit from them, in order to improve customer outcomes.

These obligations require product issuers and distributors to develop and maintain effective product governance arrangements across the lifecycle of financial products.

Contact us for help with your:

  • product launch;
  • design and distribution obligations;
  • product governance arrangements;
  • target market determinations; and
  • questions on DDO.

More ways we can help

Determining if the product you are offering is a financial product that requires licensing
Establishing a Managed Investment Scheme (MIS) – Constitution, Compliance Plan, PDS, etc.
Establishing a Corporate Collective Investment Vehicle (CCIV) – Corporate director, Constitution, 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 Committee Meetings

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.

Crypto offerings

Crypto assets and tokens are now mainstream. Our firm acts for some of the world’s biggest multidisciplinary crypto groups – spot exchanges, earn/staking providers, lenders/borrowers, offerers of perpetual futures, and payment providers.

We no longer have a single team of crypto-expert lawyers. All of our lawyers understand that crypto technologies and protocols are impacting on all aspects of traditional financial (TradFi) markets.

Product Providers

Check out these insights for Product Providers

WEBINAR: Breach Reporting
WEBINAR: Breach Reporting

Identifying and reporting common incidents and breaches
In this highly practical webinar, we’ll take you step-by-step through the Incident and Breach reporting process using some common situations that we’ve come across.

Recent Insight
Recent Insight
How to be a Responsible Manager – Competence & Responsibilities

The Responsible Manager (RM) is one of the most important positions that an Australian Financial Services (AFS) Licensee has to maintain.  They are the person (or, more likely, persons) who…

Responsible Manager Training
Responsible Manager Training

Our half-day workshop has been designed to provide Responsible Managers and compliance staff with an overview of the role of the Responsible Manager and how they fit within the broader regulatory framework.