If you are in the Fintech space, we understand your business and its challenges. You are pushing regulators and the law to its very limit. You may even go "Where no man has gone before". 

 

We help you to launch new products and services and comply with the regulatory framework. We craft innovative approaches for handling some of the toughest legal challenges in this sector. 

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Some of our recent experiences are:

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• Guided Board/Compliance Committee of Financial Services entity (a public company) on regulatory matters, such as independence, disclosure obligations, related party transactions, Chapter 7 of the Corporations Act, and inquiries by the regulator.

• Reviewed and re-drafted prospectus for a mortgage fund, in particular with reference to ASIC’s benchmarks & disclosure principles, and a distribution support rate.

• Drafted policies e.g. risk management, whistle-blower, internet & computer use, data privacy policy. 

• Advised on fund administration (i.e. forced sale of assets, redemptions, deadlock on board level, in specie transfer, withdrawal process etc.).

• Analysed various business models in light of credit and financial license, liaised with ASIC, explored potential exemptions, modified business model to avoid application of financial regulation.   

• Advised one of the world’s leading cryptocurrency exchanges on classification of its cryptocurrency and how to mitigate the risk in being deemed a financial product.

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