Financial Services

We guide financial institutions through legal complexities with decades of expertise and precision.

We provide trusted and strategic advisory services to financial institutions

With over 35 years of top-tier specialist legal skills in funds management and financial services, John Malon brings a depth of regulatory and commercial experience to provide financial institutions with trusted and strategic advisory services.

We work with domestic and international financial services institutions, public, private, or listed, with a wholesale and retail client focus. We advise across a broad range of issues including Corporations Act matters (fundraising, disclosure, licensing, registered scheme/trust establishment, and wind down), ASIC policy and regulation, outsourcing contracts (including custody, sub-custody, investment management, administration, registry, liquidity, prime brokerage), trust law, securities law, general corporate advisory, and M&A in the financial services/funds management space.

How we can help

Legal and Regulatory Advisory Work

We have significant experience supporting public, private, and listed financial services institutions, both domestically and internationally. We can support you with strategic advice relating to:

Wholesale and retail trusts/schemes
Fundraising, disclosure obligations, licensing (including AFSL variation) and compliance (including breach reporting, regulatory investigations, etc.)
Corporations Act, Corporations Regulations, and related legislative instruments
Regulatory policy
Governance matters (board, compliance committee, trustee/responsible entity)
Responsible entity/trustee appointment or removal

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Financial Services Contracts

We have broad experience in preparing, advising on, and negotiating financial services contracts, including:

Outsourcing contracts (including custody, sub-custody, investment management, administration, liquidity, registry prime brokerage)
General corporate advisory and M&A activity related to the financial services sector, including acquisitions, disposals, product development, and distribution

We can assist with contracting ranging from stand-alone commercial agreements governing ongoing service provision to suites of contractual documentation.