Mark has a wealth of experience in providing advisory, transactional and dispute resolution services to institutions in the financial services industry, including fund managers, superannuation trustees, financial advisers and other financial services and credit licence holders.
In recent years Mark has advised responsible entities and trustees in the establishment of retail and wholesale funds with assets including property, securities, derivatives, loans and cryptocurrency.
Having worked at ASIC for five years, Mark specialises in regulatory affairs ranging from compliance advice, advising on response to notices to ASIC Enforcement actions.
Mark also has extensive experience in governance, advising on matters such as conflicts of interest, directors’ duties, the appointment of independent chairs, and investment due diligence.
Expertise
Mark’s expertise includes:
- AFS and RSE licensee obligations, including applications, conduct and disclosure (including SOAs, FSGs and PDSs)
- Establishment of registered and unregistered managed investment schemes
- Anti-money laundering and counter terrorism financing
- Corporations Act, the Privacy Act and the National Consumer Credit (Protection) Act
- Dispute resolution
- Trusts
- Consumer protection
- Professional indemnity & directors’ and officers’ insurance
- Investment and asset management arrangements
- Administration and custodial agreements
- Advising on regulatory actions
- Preparation of employment agreements, consultancy agreements and service agreements for employees in the financial services sector
- Banking & Financial Institutions ,
Sector
- Financial Services ,
Services
location
Melbourne
Thinking
Scams, Braz and the Financial Accountability...
Financial Services
RegTracker 22 May 2023
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RegTracker 24 April 2023
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Legislating the objective of superannuation
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Financial Services
Access to offenders’ superannuation for...
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RegTracker 19 December 2022
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Increased regulatory risks from Privacy Act...
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RegTracker 22 November 2022
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APRA consults on strengthening SFT...
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ASIC rolls out the stop orders on Target...
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RegTracker 30 August 2021
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RegTracker 23 August 2021
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Private Advisory
Digital asset ‘Safe Harbour’ and Digital...
Financial Services
RegTracker 26 March 2021 – ASIC’s...
Financial Services
RegTracker 3 March 2021 – Spotlight on the...
Private Advisory
Submission to the Second Issues Paper...
Financial Services
RegTracker – 14 December 2020 –...
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Design and Distribution Obligations
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RegTracker – 30 Nov 2020 –...
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RegTracker 16 Nov 2020 – Spotlight on Hayne...
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McVeigh v Rest – a new standard for...
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RegTracker – Super – 2 November...
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RegTracker – Super – 5 October 2020
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RegTracker – Super – 29 May 2020
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RegTracker – Super – 15 May 2020
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COVID-19
RegTracker – Super – 1 May 2020
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COVID-19
ASIC Relief on COVID-19 advice –...
COVID-19
COVID-19 Early access to super
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AFCA – three months in
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Personal advice and ethics – crossing the...
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AFCA is here and it will cast a wider net
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Financial Services
AFCA on the way – disclosure relief and...
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AFCA on the way – 10 weeks to go
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Court Approval: Don’t take it for granted
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M&A/Corporate Advisory
Spotlight on Super – May 2016
Financial Services
The Budget 2016-17: How it affects Financial...
M&A/Corporate Advisory
Spotlight on Super – April 2016
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Financial Services
Back to the drawing board for Willmott class...
Financial Services
‘Bitter Harvest’ – Senate Economics...
Financial Services
Senate Inquiry Report into Forestry Managed...
Financial Services
The devil is in the detail
M&A/Corporate Advisory
Spotlight on Super – February 2016
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Financial Services
Corporations Amendment (Crowd-Sourced...
Financial Services
ASIC Releases Licensing and Registration...
Financial Services
Accountant banned for 6 years for engaging in...
Financial Services
ASIC Seeks Improved Compliance by Super...
M&A/Corporate Advisory
Australian Significant Investment Visa...
M&A/Corporate Advisory
Managed funds and custodians – It’s time...
Financial Services
Accountants – don’t be shut out of super
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Partner
Stephen Putnins
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