Nick advises financial services institutions including domestic and international banks, corporate trustees, asset managers, custodians, general partners, and fintechs. His matters and expertise range from licensing and regulatory obligations to fund and partnership formation and management to the issuance of the full suite of structured financial products, such as warrants and derivatives. He is also the Deputy Chair of the NSW branch of the Australia-Indonesia Business Council (the peak trade association between Australia and Indonesia) and speaks Bahasa Indonesia fluently.
Nick's experience includes advising:
- acting for a major bank on a full-scale review of their internal compliance controls and checklists, including their investor-directed portfolio services (IDPSs), custody, registered managed investment scheme, and superannuation business streams
- advising on the establishment, ASIC registration, day-to-day management and listing of managed investment schemes on the ASX AQUA market, including exchange-traded funds (ETFs), as well as the formation and management of unregistered managed investment schemes
- advising on the disclosure documentation for the full range of structured products, such as listed and unlisted warrants and deferred purchase agreements (DPAs), including for compliance with conflicted remuneration provisions
- advising on breach notifications, relief applications, and responses to ASIC Notices and correspondence, including attendance at meetings with the regulator
- advising foreign financial services providers (FFSPs) on ASIC’s foreign Australian financial services licence and eligibility for exemptions from the licensing regime