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.
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
- 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.
- Financial Services ,