Funds and Financial Services.

The rapidly evolving and continuously innovating financial services sector plays a vital role in the way people and businesses receive and engage with their credit, financial, investment and insurance services. The sector not only includes the services that are delivered, but the products and technologies that underpin them. 

We service a diverse array of clients within the sector spanning cryptocurrency, general insurance, fintech, insurtech, discretionary funds management, responsible entities, investments and mutual funds, financial planning, credit and payments, and managed accounts.

Our team has a deep understanding of the investment, credit and financial services sectors and can deliver technically excellent and practical advice across various legal disciplines.

We closely follow regulatory developments, are heavily involved with industry associations and working groups, and participate in responding to key regulatory and Government consultation papers.

Experience.

Hamilton Locke - Funds Management

We offer a full range of regulatory, corporate, and commercial legal services, as well as licensing and compliance support, including:

  • AFS and credit services licensing
  • Regulatory and legal advice for financial services and credit businesses
  • Corporate and commercial advice, including capital raising, private equity, commercial agreements and transactions (such as buying and selling financial services businesses)
  • Advice and establishment of unique financial services offerings, including discretionary mutual funds, cryptocurrency services and platforms, managed discretionary accounts, horse racing syndicates and many others
  • Assistance with disputes, complaints, breach assessment and client remediation
  • Assistance with ASIC and other regulator engagement, investigations, enforcement action and disciplinary matters
  • Comprehensive e-store of compliance manuals, tools and templates

 

Our suite of customisable manuals, tools and templates (available via The Fold and Source Compliance eStore) provide a cost-effective compliance solution for your business.

Hamilton Locke - Financial Services

Our industry-focused team provides specialist regulatory, corporate and commercial advice to financial services and credit businesses. Our expertise in financial services and credit is recognised by our rankings in Chambers and Partners, Asia-Pacific Financial Services Regulation and FinTech Legal Guides.

Reflecting our commitment to client service, we have also won Best Law & Related Services Firm (<$30mil) across several specialist categories, based on direct feedback received from our clients. 

We offer a full range of regulatory, corporate and commercial legal services, as well as licensing and compliance support including:

  • AFS and credit services licensing
  • Regulatory and legal advice for financial services and credit businesses
  • Corporate and commercial advice including capital raising, private equity, commercial agreements and transactions (such as buying and selling financial services businesses)
  • Advice and establishment of unique financial services offerings including discretionary mutual funds, cryptocurrency services and platforms, managed discretionary accounts, horse racing syndicates and many others
  • Assistance with disputes, complaints, breach assessment and client remediation
  • Assistance with ASIC and other regulator engagement, investigations, enforcement action and disciplinary matters
  • Comprehensive e-store of compliance manuals, tools and templates

Funds and Financial Services Team.

Charmian Holmes

Partner, Head of Funds and Financial Services

Charmian Holmes - Hamilton Locke

Jeffrey Lai

Partner

Jo Ruitenberg

Partner

Erik Setio

Partner

Jaime Lumsden

Partner

Simon Carrodus

Partner

Michele Levine

Partner

Sónia Cruz

Executive Director – Licensing

Bryan Ventura

Partner

Bryan Ventura - Hamilton Locke

Jessica Smith

Special Counsel

Julie Hartley

Senior Associate

Nicholas Pavouris

Senior Associate

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