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Funds Management Definition
The practice of funds management law in Australia involves advising on the legal and regulatory requirements relating to the operation of funds. It is a complex area and often intersects with other practice areas, for example, corporate/mergers and acquisitions, tax, banking and finance, superannuation, and litigation.
Funds management lawyers assist clients with a range of matters including in relation to fund formation and capital raising, custody and administration, trust deeds, financial services licensing, corporate governance and compliance, mergers and takeovers of funds and businesses, and asset and investment management. Typical legal services provided include:
• Australian financial services licensing;
• business formation;
• fund structuring and formation;
• strategic tax structuring;
• investment management;
• fund transactional work;
• ongoing regulatory compliance and training;
• fund governance;
• finance or refinance of debt facilities;
• listing requirements for the Australian Securities Exchange (ASX);
• defending or launching takeover bids;
• regulatory investigations;
• fund and financial services-related mergers and acquisitions;
• reconstructions; and
• insolvency and litigation.
In providing these services, funds management lawyers may draft transaction and other documentation, prepare and submit applications on behalf of clients, review disclosure documents, and/or provide legal advice. They also may liaise with relevant regulatory bodies including the Australian Securities and Investments Commission (ASIC), the Australian Prudential Regulation Authority (APRA), and the Australian Taxation Office (ATO).
Funds management lawyers service a diverse group of clients across a broad range of industries including fund managers, investment managers, brokers, independent trustees, financial planners, research houses, corporate advisors, and financial service providers. Clients can be both domestic and international.
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