Assisted a client establish a peer-to-peer lending business in Australia. This involved applying to the Australian Securities and Investments Commission (ASIC) for an Australian Financial Services Licence, an Australian Credit Licence as well as the registration of a managed investment scheme.
Acted for Adherium Limited (ADR) in its successful IPO and ASX Listing in August 2015. Adherium is a global leader in digital health technologies which address sub-optimal medication use in chronic disease.
Acted for Avita Medical Limited (AVH) in its AUD17 million capital raising (placement and rights issue) in October 2017. AVH is a regenerative medicine company specialising in the treatment of wounds and skin defects.
Acted for Paradigm Biopharmaceutical Limited (PAR) in its successful IPO and ASX Listing in August 2015. Paradigm is an Australian biopharmaceutical company focused on repurposing the drug PPS for the treatment of bone marrow edema.
Advised financial institutions and other organisations on their obligations under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth).
Assisted in a range of financial services matters including financial services licensing, superannuation regulatory and compliance issues, ASIC and Australian Prudential Regulation Authority regulation, trust deed due diligence and financial services advice regulatory compliance obligations.
Advised international fund managers about offering their products in Australia.
Advised on requalification on the ASX under chapter 1 of the ASX Listing Rules.
Acted for Sienna Cancer Diagnostics Limited (SDX) in its successful IPO and ASX Listing in August 2017. SDX is a biotechnology company focused on the development and commercialisation of diagnostic tests for the global pathology market.
Acted for SelfWealth Limited (SWF) in its successful IPO capital raising and ASX Listing in November 2017. SWF is an Australian FinTech business offering share trading capabilities and a social portfolio construction network for Australian investors.
Advised private and public companies on various matters including rights issues, meeting documents, placements, options, warrants, capital raisings and employee share/option schemes.
Acted on Prima BioMed Ltd's capital raising in May 2015 with Ridgeback Capital Investments, a large US-based specialist healthcare investor run by Wayne Holman, who is widely regarded as one of the world’s pre-eminent biotech investors.
Acted for Traffic Technologies Limited in its successful 2018 capital raising (rights issue).
Acted on behalf of Mesoblast Ltd's US$170 million U.S. (144a) and UK (Reg S) wholesale capital raising in February 2013 – one of the largest early stage life sciences raisings worldwide in 2012/13, involving two international brokers across three time zones and completed over a 48 hour trading halt.
Advised numerous clients on their privacy compliance obligations under the Privacy Act 1988 (Cth) and updating privacy policies to comply with the Australian Privacy Principles.
Assisted in the due diligence, restructuring and prospectus drafting for several companies in preparation for initial public offerings on the ASX and backdoor listings.
Acted for Prima BioMed Limited (PRR) in its 2017 capital raising and U.S. registered offering on NASDAQ. PRR is a biotechnology company developing immunotherapeutic products for cancer and autoimmune diseases.
Acted for Gtech International Resources Ltd in its acquisition of leading health care company Simavita Holdings Ltd. The deal was conducted by way of a regulated scheme of arrangement, together with a contemporaneous capital raising by Simavita. Following the completion of the merger, the newly combined group undertook a CHESS Depositary Interest (CDI) IPO listing on the ASX to establish a dual listing on the TSX Venture Exchange (a Canadian stock exchange) and the ASX.