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Alice Ye

Fax +61.2.9513.2399

Ms. Ye is a financial services lawyer with a focus on advising fund managers, responsible entities and trustees. She primarily assists clients with the day-to-day legal requirements of running a funds management business, including fund formation, outsourcing agreements, licensing and registration.

Ms. Ye also advises on regulatory compliance issues, including breach reporting and registered scheme requirements.

Professional Background

Prior to joining K&L Gates, Ms. Ye worked at a listed, diversified Australian financial services company advising on various commercial agreements and regulatory compliance matters for its responsible entity, funds and platform businesses.

Professional/Civic Activities

  • Law Society of New South Wales member
  • Assisting in respect of various legislative issues, such as Corporations Act 2001 (Cth) and Superannuation Industry (Supervision) Act 1993 (Cth) issues.
  • Assisting with preparing transaction and offer documents for new retail and wholesale fund launches.
  • Assisting with regulatory compliance matters and AFS licensing requirements in relation to responsible entities, platform operators and fund managers.
  • Assisting with change of responsible entity and trustee transitions by preparing transaction documents and investor notices.