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 (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 Committees
