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Our Commitment to Diversity


Daniel Knight

Funds Management

Establishing a registered managed investment scheme investing in fixed interest assets, including preparation of the constitution in accordance with ASIC requirements and to enable the scheme to be an Attribution Managed Investment Trust (AMIT).
Assisting the manager of a large mortgage fund to update its Product Disclosure Statement, including to address indirect costs disclosure requirements under ASIC Regulatory Guide 97.
Establishing a wholesale quantitative hedge fund investing in foreign equities, including preparing disclosure documentation and negotiating prime brokerage arrangements.
Assisting a Singapore listed real estate fund manager on the AU$410 million acquisition and development of commercial real property in North Sydney through an Australian Managed Investment Trust.
Advising a U.S. fund manager and an Ireland domiciled Undertakings for Collective Investment in Transferable Securities (UCITS) fund on the Australian financial services regulatory regime, including the types of activities which could be conducted without formal licensing.
Preparing Product Disclosure Statements (PDSs) for funds managed by a US hedge fund manager, including to address ASIC's disclosure benchmark requirements.
Assisting offshore fund managers to obtain individual and class relief from the Australian financial services licensing regime based on mutual recognition arrangements.
Negotiating investment management agreements between managers and third party responsible entities and superannuation trustees across a range of funds.
Assisting a number of emerging investment managers establish wholesale and retail funds across a range of asset classes (including direct property, equities, fixed income, commodities, etc) employing diverse investment strategies.

Financial Product Advice and Financial Planning

Assisting a retail bank aligned financial planning dealer group respond to ASIC's reforms to the regulation of managed discretionary accounts (MDAs), including providing strategic guidance on the various alternative structures and preparing their MDA documentation.
Advising a retail bank on updates to its full suite of adviser agreements, including to ensure sufficient protection for the bank and to address the impact of unfair contract terms laws.
Advising two of Australia's largest retail banks on the compliance and disclosure obligations associated with their financial planning divisions, including in connection with regulator inquiries.
Advising clients in relation to "fee for no service" issues, including assisting with breach notification, remediation and Royal Commission responses.
Advising a managed fund platform operator about the implications of the Australian Federal Government's 'Future of Financial Advice' (FOFA) reforms.


Advising one of Australia's largest superannuation funds on a range of private equity investments into a range of vehicles, including US LLC, Cayman Islands limited partnerships, etc, as well as assisting with the establishment of a "fund-of-one" vehicle (comprising a US limited partnership and an Australian managed investment scheme).
Advising a financial planning licensee about the impact of FOFA's conflicted remuneration ban on proposed revenue streams associated with investment consulting services for a separately managed account offering.
Advising Tasplan Superannuation, a not-for-profit superannuation fund, on their merger with a Tasmanian State Government operated superannuation scheme, resulting in a fund with 165,000 members and AU$8 billion in funds.
Advising a superannuation fund trustee on responding to the strategic implications of the Australian Federal Government's "Stronger Super" reforms. Negotiating investment management agreements and other material outsourcing arrangements for superannuation fund trustees.
Negotiating investment management agreements and other material outsourcing arrangements for superannuation fund trustees.
Assisting a number of superannuation fund trustees vary their RSE Licences to include authorisations to operate MySuper products and advising on the associated product design and trust deed amendments.
Advising a retail superannuation fund on governance arrangements to address conflict of interest issues.


Assisting with the launch of a novel gold-back stable coin and our team leveraged hands-on, practical knowledge of financial services regulation to develop a token structure which provided a simple compliant solution to these regulatory challenges.
Advising a listed payment company on expanding their Australian offering into new sectors by satisfying legal regulations and card scheme requirements.
Advising a neo super fund on the provision of innovative services to fund members and the promotion of the fund through loyalty programs, social media, employer engagement.
Advising an innovative fintech payments startup on the licensing and AML implications of its proposed payment services.
Advising on the establishment of an online portal for listed company placements.
Regulatory advice in connection with the establishment of an ESVCLP and obtaining concessional tax treatment through registration with ISA
Advising an Australian bitcoin exchange on the licensing, foreign exchange and money-laundering implications of its current activities and advising on its proposals to establish a pooled cryptocurrency fund.
Establishing the Australian operations of a multinational peer-to-peer lender, including establishing a managed investment scheme to accept retail investment, assisting them obtain an Australian Financial Services Licence and Australian Credit Licence.
Establishing a retail consumer and small business lending marketplace, including obtaining registration of a fund to enable the lending and preparation of a Product Disclosure Statement.
Assisting a global provider of micro-merchant payment services to obtain an Australian Financial Services Licence and establish its non-cash payment services in Australia.
Assisting a wholesale crowdfunding platform obtain an AFSL and advising on authorised activities.
Advising FinTech start-ups on the licensing implications of their proposed activities across a range of verticals, including innovative payment solutions, cryptocurrencies, marketplace lending and robo-advice.


Advising clients on a range of Australian Credit Licence compliance issues.
Advising a boutique lender regarding its reverse mortgage loan book and the consumer credit licensing and disclosure issues relevant to the collection phase of this book, including assisting with responses to client complaints through the Financial Ombudsman Service.
Establishing a special purpose lending vehicle to provide mezzanine finance to small to medium enterprises, using funds raised through a collateralised note program.


Providing advice to a major retail brand about distribution of a range of insurance products, including advice on anti-hawking and conflicted remuneration issues
Advising a multinational electronics manufacturer about distribution of device finance and insurance.
Advising a listed online classifieds business on its distribution of a range of finance, warranty and insurance products.
Assisting a health insurer develop internal processes for distributing aligned financial products.

Other Regulatory Matters

In relation to connection with an acquisition, we assisted an Australian financial services provider with an anti-money laundering (AML) breach, including liaising with AUSTRAC to obtain, on an urgent basis, a no-action letter confirming that AUSTRAC would not take any action.
Advising a gaming platform about the financial services licensing implications of its payment solutions, including in connection with purchases through the platform and in-game currency.
Advising various entities about the application of the Australian Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth).
Developing Australian privacy policies for a range of local and international financial services entities.
Assisting a multinational manufacturing company respond to bribery investigations and enforcement activity and assisting the entity to implement compliance processes.
Providing guidance to a global engineering firm on its anti-bribery compliance regime.
Advising a range of multinational businesses on their anti-bribery and corruption procedures and developing their policies and training content.
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