fbpx
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.

Play Product Providers

Check out these insights for Product Providers

Webinar
Webinar
WEBINAR: Breach Reporting – The New Requirements

Breach Reporting is changing in a big way.  The Government has now implemented Hayne's breach reporting recommendations.  In this webinar, Paul will explore the new requirements which commence in October…

Register
Blog update
Blog update
If you thought that breach reporting was tough enough now…

Australia’s dob-yourself-in breach reporting is hard now, but things are about to get a lot harder. A new Bill (an exposure draft at this stage) seeks to amend the Corporations…

More
Responsible Manager Training
Responsible Manager Training
AFSL - Responsible Manager Workshop (Introduction)

Our half day course has been designed to provide you with an overview of the role of Responsible Managers, and how they fit within the broader regulatory framework.  The sessions…

View Courses