An international investment bank structured globally as two separate regulated banks, on the merger of one Australian branch into another.
A division of a global financial institution regarding the regulatory aspects of its merger and restructure, as well as the simultaneous integration of a global financial institution’s prime brokerage business acquired from another global financial institution. This involved providing advice regarding ETF market making, drafting applications for bespoke individual relief instruments, advising on complex aspects of securities lending and market making regulation by both ASIC and the ASX.
Considering the regulatory aspects of the provision of wealth management and other financial services in Australia by Charles Schwab and CoUS-based asset management firm, including a comprehensive report outlining the legal position of an extensive range of unique financial services in a number of different circumstances.
Drafting licence applications for domestic and foreign financial service providers, including providing ongoing regulatory advice.
A broad based liquidity review for NSW Treasury CorpAustralian institutional investor on a significant number of investments it managed, to ascertain which investments could be withdrawn from, and how quickly this could occur. This liquidity review involved the in-depth review of a number of direct investments, as well as a large number of indirect investments held through complex fund structures.
An alternative investment manager on the establishment of a feeder fund, allowing high net worth investors to gain access to a global asset management company’s premier real estate fund. Advising S64 Capital Innovation on the establishment of a feeder fund into one of Australia’s premier property funds, including managing the documentation and negotiations with the four separate parties involved in the establishment.
Providing foreign investment advice and submitting FIRB applications on behalf of an Asian Pacific real estate manager Nuveen in respect of its Asia Pacific Cities Fund, with over USD700 million in commitments across the region. Investors in the fund include sovereign wealth funds, pension funds and other institutional investors, and involved advising the fund in respect of Australia’s foreign investment regime.
