- prepared AFS Licence application for innovative on-line superannuation provider.
Property Funds (Listed and unlisted)
- company secretarial and governance services for ASX-listed staple securities managed fund in hospitality and facility management
- obtained AFS licence for responsible manager of rural property fund
- contributed to internal governance system of rural property fund, delivered training to directors, annually liaising with auditors
- chaired independent compliance committee of diversified property group
- advised on and prepared application for National Credit Licence
- advised financial advisors on distribution agreements, licensing and compliance matters
- prepared successful AFS licence application for Melbourne-based wealth management and e xecution – only brokingc ompany, and subsequent variations
- prepared successful AFS licence application for Melbourne-based specialist broking house,part o f an international group with FSA and Hong Kong SFE registration and advised on firm-wide compliance system
- prepared successful AFS licence application for Melbourne-based global hedge fund manager, a nd subsequent variations.
- prepared successful AFS licence variation for asset manager, advised on internal compliance system and advised on investment agreement with client
- prepared successful AFSL application and variations for investment manager servicing l isted investment companies, advised on internal compliance and delivered compliance training to internal staff and directors
- prepared successful AFS licence application for corporate advice business, developed and delivered training to staff and advised on subsequent variations.
- prepared AFS licence variation and compliance manual for corporate advice business
- advised on establishment of equine breeding fund