Simon Carrodus

AREAS OF EXPERTISE

ASIC Investigations; Regulatory Advice; AFCA Complaints; MDAs & SMAs; Privacy and Cybersecurity; Disputes; Transactions; Due Diligence.

AWARDS

• Client Choice Awards, Best Law & Related Services Specialist Firm (>$30m) – Banking & Finance, 2020, 2022
• Client Choice Awards, Best Law & Related Services Specialist Firm (>$30m) – Insurance, 2021 – 2022
• Chambers and Partners, Asia-Pacific Guide, Financial Services Regulation, Ranked Firm, Band 4, 2020 – 2022
• Chambers and Partners, Fintech Legal Guide, Ranked Firm, Band 2, 2019 – 2022
• Fintech Australia, Finnies Award, ‘Excellence in support Services’, 2022

QUALIFICATIONS

• Bachelor of Laws – Monash University
• Bachelor of Commerce – Monash University
• Graduate Certificate of Taxation – Monash University
• Graduate Diploma of Applied Finance – Kaplan
• RG146 Managed Investments and Securities – Kaplan
• Admitted to practice in Victoria, New South Wales and Queensland

SELECTED REPRESENTATIONS

• Advised moneyGPS on the design, implementation and distribution of their proprietary digital advice offering, including process flow, disclosure documentation and risk management.
• Acted for Kalkine in relation to ASIC investigation, including responding to section 33 and section 912C notices and attending section 19 examinations with key staff.
• Acted for former director in relation to appeal to AAT against ASIC banning order.
• Acted for Professional Wealth Management Services in relation to ASIC investigation, section 920A banning notice and section 915C licence cancellation notice.
• Advised FIIG in relation to cyber incident response and regulator engagement.
• Acted for Henderson Maxwell in relation to ASIC investigation, section 920A banning notice and ASIC criminal proceedings.
• Advised Diverger on a range of financial services regulatory issues including licensing, disclosure, managing conflicts, breach reporting and complaints.
• Advised Lifespan Financial Planning on a range of regulatory issues including MDAs, disputes, complaints, regulatory enquiries and conflicts.
• Acted for Poynter Hargraves in relation to ASIC investigation and licence conditions project.
• Acted for Premier Wealth in relation to section 920A banning notice and section 915C licence cancellation notice.
• Advised Elston on a range of regulatory issues including MDAs, conflicts, breach reporting and complaints.
• Advised Oracle Advisory Group on a range of regulatory issues including MDAs, SMAs, managing conflicts, group restructure, platform relationships and client disclosure.
• Advised LMS Energy on regulatory issues including AML-CTF, licensing, key person conditions and client disclosure.
• Advised Oaktree Capital on a due diligence project in relation to the potential acquisition of a diversified financial services licensee.
• Advised Invest Blue on a due diligence project in relation to the acquisition of an AFS licence.
• Advised MSC Group on a due diligence project in relation to the acquisition of large financial services group.
• Advised Diverger on due diligence project in relation to merger with Count.
• Advised Pioneer Wealth on sale of insurance client book and referral arrangement.
• Advised Favero Financial Services on sale of client book.
• Advised Horsey Jameson Bird in relation to business structure and regulator engagement.
• Acted for Your Private Wealth in relation to ASIC investigation and restructure of business.