Stephanie Patterson
Special Counsel
Kath Booth
Jackie Lazar
Andrew Vincent
Laura Driscoll
Special Counsel
Miriam Asar
Lucy Masters
Melissa Doran
Special Counsel

Simon Carrodus


Simon is well known for his infectious personality and the energy that he brings to solving problems for his clients. Simon has seen the financial services industry from many angles, having worked for the regulator, a fund manager, a big 4 bank and a leading law firm. He brings his broad experience in financial services and regulatory advice to help his clients create cutting edge service offerings that are both innovative and practical.

Simon’s clients are financial services businesses that hold or operate under an AFS licence, or intend to obtain an AFS licence. Simon has significant experience in wealth management and advises his clients on legal, regulatory, M&A and litigious matters. He has deep technical expertise from decades spent liaising with the regulator, managing disputes, drafting contracts and disclosure documents, and negotiating complex transactions. Simon advises on all areas of financial services law, with a particular focus on financial advice, managed accounts and regulatory disputes.

Simon sits on the Regulatory Committee of the Institute of Managed Account Professionals, the Advisory Board to Professional Planner and the Financial Services Committee of the Law Council of Australia.

Prior to joining Hamilton Locke, Simon was a Director at The Fold Legal, which merged with Hamilton Locke on 1 September 2022. Simon has also worked at the Commonwealth Bank of Australia, Russell Investments and the Australian Securities & Investment Commission.


Financial Services; Regulatory Advice; Wealth Management; Financial Advice; Managed Accounts; Privacy and Cybersecurity; Disputes; Transactions

  • 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
  • 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
  • Advised GPS Wealth since 2018 on a broad range of financial services regulatory issues including licensing, disclosure, managing conflicts, best interests duty, breach reporting and the new FDS and fee consent regime.
  • Advised moneyGPS on the design, implementation and distribution of their proprietary digital advice offering, including process flow, disclosure documentation and risk management.
  • Advised and represented numerous AFS licensees in relation to IDR complaints, AFCA complaint, ASIC investigations, response to ASIC notices and section 19 examinations.
  • Acted for Premier Wealth in relation to 920A banning notice and 915C cancellation notice issued by ASIC.
  • Advised Lifespan Financial Planning since 2019 on a range regulatory issues including MDA establishment and maintenance, adviser onboarding and offboarding, managing conflicts and the Design and Distribution Obligations.
  • Advised Poynter Hargraves in relation to an ASIC investigation and subsequent Licence Conditions Project.
  • Acted for MiQ Private Wealth in relation to an FPA investigation and hearing.
  • Advised Oracle Advisory Group since 2019 on a range of regulatory issues including adviser onboarding and offboarding, group restructure, MDA and SMA offering, platform relationships, client disclosure and conflict management.
  • Advised Oaktree Capital on a major regulatory due diligence project in relation to the potential acquisition of a large, diversified financial services business.
  • Acted for Henderson Maxwell in relation to an FPA investigation, 920A banning notice and ASIC criminal proceedings.