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.

*Some of the above representations were undertaken while at previous firms

Centuria

Acted for Centuria in the establishment of the Centuria 80 Flinders Street Fund and the Centuria 348 Edward Street Fund

Centuria

Acted for Centuria Heathley in establishing the CHHPF South Bunbury Sub Trust and the CHHPF Kallangur Sub Trust.

One Investment Group

Acted for One Investment Group and iProsperity on the acquisition of leasehold interest in Chatswood Central Shopping Centre, advising both the senior and mezzanine borrowers in relation to a $70 million senior facility and a $17 million mezzanine facility.

MARQ Private Funds Pty Ltd

Acted for MARQ Private Funds Pty Ltd in the establishment of the Veuve Education Fund.

Boutique Capital Pty Ltd

Acted for Boutique Capital Pty Ltd in the establishment of the BFA Investment Management Fund.

One Investment Group

Acted for professional trustee One Investment Group in relation to establishing a number of wholesale funds in the property sector.

Keppel Capital

Acted for Keppel Capital in the acquisition of the Australian Unity Office Fund.

IFM Investors

Acted on the restructure of the IFM Investors Specialised Credit Fund.

Acted for one of Australia's largest professional trustees in the establishment of a pooled mortgage fund.

Acted for a prominent Sydney based fund manager in establishing an alternative credit real estate fund.

Advising CSIRO on the establishing of the CSIRO Innovation Fund / Main Sequence Ventures – the first incorporated limited partnership structure to be established in the Federal Government.

Parc Utiliti

Acting for Parc Capital in the establishment of the Parc Utiliti Venture Fund ESVCLP.

One Funds Management Limited

Acted for One Funds Management Limited on the establishment of the Saville Capital Pre-IPO Fund.

Primewest Commercial Fund

Acted on the restructuring and initial public offering of the Primewest Commercial Fund A REIT.

Agrifunder

Advised Agrifunder on the key regulatory and governance changes that were conditions of a capital raising and director buy-out.

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.

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

Cryptocurrency Expertise

Digital assets and cryptocurrencies like Bitcoin and Ethereum have enormous potential, but with increasing regulatory scrutiny and enforcement, it’s essential to have the right legal advice.

Our team has a deep understanding of blockchain technology, digital assets, Web3 and the broader digital economy. We combine this specialised knowledge with financial services expertise to deliver innovative and compliant solutions for clients that are designed for regulatory longevity.

Whether you’re just starting to explore digital assets, or seeking in-depth advice, we can support you with all aspects of your business including:

Licensing advice and applications, including AFSL, ACL, Markets Licence and Clearing & Settlement Licence
Structuring advice
Assessing and designing tokens for regulatory compliance
Product and service design advice, including different staking, yielding, payments, derivatives, margin trading and custody solutions
Distribution, sponsorships and partnerships
Facilitating global expansion
Building compliance frameworks
Negotiating and drafting commercial or service provider agreements
Transaction and tax advice
Facilitating regulator engagement, including ASIC, AUSTRAC, APRA, RBA and ASX
Assisting with regulatory enforcement activity

Hamilton Locke is a member of Blockchain Australia and our team has been advising local and global businesses on digital assets since 2015. We are also proud to be engaging with industry bodies, regulators, and the government to help drive next-generation solutions for businesses and fit-for-purpose regulatory settings.