Funds & Financial Services

Navigating the changing face of the industry

It's not just the banks and insurers facing increased regulatory supervision and tougher enforcement but also trustees, brokers, fund managers, investors, financial planners and credit providers are all feeling the impact of reforms.

Our team has decades of experience advising on all aspects of funds and financial services regulation, including in connection with product development and distribution, AFS licencing and compliance, governance, breach reporting and remediation, fund transaction documentation and regulatory due diligence.

Investments transactional and advisory 

When it comes to funds and investments, we act for ASX 100 financial institutions, family offices, intermediaries, listed and private companies and trusts, managed investment schemes, private equity funds, superannuation funds, asset managers and high net worth individuals.

We think and act globally. Our international clients include offshore and onshore fund managers and foreign financial institutions operating in Australia and utilising digital platforms.

We cover all investment asset classes such as global and Australian equities, alternatives, infrastructure, private equity, direct and indirect property, bonds, fixed interest, cash, custody, derivatives, carbon credits, and digital assets.

We advise on all areas of investment management, exchange traded and over the counter (OTC) derivatives, mergers, acquisitions, investment manager, and investments due diligence.

Product Development and distribution

When our clients develop new financial products, we’re part of the team. We prepare information memoranda, product disclosure statements and advise on disclosure requirements. We’re across distribution agreements and referral models, authorised agreements­­, as well as new non cash payment facilities, ETFs, digital currency and client relationship management.

Fund formation, structuring and due diligence

We advise on the full spectrum of national and international fund structures and establishment models, including registered and unregistered managed investment schemes, limited partnerships, superannuation vehicles and wholesale investment platforms. Our team works with clients to ensure compliance with regulatory requirements while delivering commercially viable solutions tailored to investor needs. If you are establishing or investing in a wholesale fund, feeder fund or fund-of-fund vehicle let us assist you. If you need an AFS licence, we can manage the application process for you.

Compliance and Risk Management

We provide compliance support and risk management services to some of Australia’s largest financial services providers, institutions and broker networks. Clients rely on us to develop and implement their compliance and risk management policies and procedures­­­­­­, including training their people—because we know there’s no margin for error.

If Mandatory Data Breach requirements are taking your time and attention away from other essential tasks, lean on us to prepare your privacy compliance manuals and develop reporting mechanisms.

We have expertise in Anti-Money Laundering (AML) and Know Your Customer (KYC) protocols. If you’re looking to implement the latest amendments to the AML/CTF Act we can provide you advice.  We’re also able to assist with  your AML external audit, updating manuals, or training if you need to add a new designated service.

Breach reporting and regulatory investigations

We conduct compliance audits and regulatory due diligence. If there’s a breach, we’ll handle the reporting and ASIC notices as well as any ASIC hearings. If you have any ASIC or APRA examinations, we can assist you and your staff in preparation and attend with you on the day of the examination.  

Specialist and emerging areas

We are frequently consulted on frontier legal issues affecting the investment and superannuation sectors, from ESG to digital assets. Our team brings a commercial lens to navigating emerging regulatory and market developments. We can assist you in navigating the emerging areas of ESG, impact investing, Australian Carbon Credit Units, digital platform licensing, virtual assets, tokenised funds, and cryptocurrency investment vehicles.


See our Superannuation Team page for more information.