Our Services | Audax Legal

Core Area of Expertise

Financial Services: Broking; Capital Markets; Wealth Product Generation; Funds Management

Capital Raising

Investment Banking

Corporate Transactions

Asset and Risk Management for Personal Investment Businesses

clientele

Our Clients are Typically

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Issuers of Financial Products

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Operators of Financial Services

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Stockbrokers, Dealers and other Financial Market Participants

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Entrepreneurial Fund Managers

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Pre-IPO Capital Investors or Companies

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Investors

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Pioneers in Financial Services

This Sample of Our Work Shows Our Focus on Financial Services Businesses

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Account Terms

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AFS Licences

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APRA Prudential Standards

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ASIC Enquiries

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Asset-Backed Financing

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ASX Listing & Market Rules

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Banking Code

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Business Structures

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Capital Adequacy and Surplus Liquid Fund Requirements

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Capital Protection Products

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CFDs

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Charges

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Collateralised Trading & Financing

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Commodities & Metals

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Compliance Breaches

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Compliance Plans

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Consumer Credit Code

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Corporate and Trust Restructuring

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Corporate Restructures

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Credit Facilities

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Dealer Services

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Deposit Notes

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Derivatives

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Directors’ Duties

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Disclaimers

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Distribution

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Due Diligence

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Equity Swaps

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Escrow

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ESOP

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ETOs

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Financial Product Design

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FIRB Approvals

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FSGs

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Funding Agreements

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Funds Management

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Futures

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FX

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Governance

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Guarantees

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HNW Asset and Risk Management

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Hybrid Securities

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IDPSs

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IMAs, SMAs & MDAs

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Insolvency Management

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Installments

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Investment Management

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Investor Agreements

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ISDA Documentation

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ISDA-Based Structured Transactions

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Joint Ventures

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Licensing

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Loans

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Meetings

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Mezzanine Finance

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Mortgages

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Capital Adequacy and Surplus Liquid Fund Requirements

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Offshore Capital Raisings

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Partnerships (Limited Venture Capital)

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Payments Netting

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Performance Bonds

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Placements

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Portfolio Management

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Portfolio Transition

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Priority Arrangements

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Quirky Financial Products

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Responsible Entities (Licensing, Duties, Agreements)

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Rights Issues

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Scheme Constitutions

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Scheme Registration

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Schemes of Arrangement

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Securities Lending

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Securitisation

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Security Enforcement

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Stamp Duty

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Structured Equity and Debt Financing

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Substantial Holdings

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Substantial Holdings Disclosure Management

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Superannuation

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Syndicated Lending

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Threshold Management

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Traders Training

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Trading Terms

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Trusts

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Underwriting

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Venture Capital

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Warrants – Listed & Unlisted

…and the things that happen in a Financial Services Business

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Anti-Discrimination

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Advertising

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Business Acquisitions and Sales

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Business Succession

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Confidentiality Agreements

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Director Access Deeds

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Employment Agreements

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Employment Hiring and Firing

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Equal Opportunity

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GST

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Insurance Polices and Claims

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IT Contracts Review

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Litigation Disputes

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Occupational Health & Safety

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Premises

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Privacy

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Proprietor Equity Management

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Regulatory Investigations & Hearings

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Remuneration

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Revenue Law (Duties)

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Service Agreements

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Services Level Agreements

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Subpoena Management

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Tax Agreements (RCTIs, Tax Sharing)

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Trade Practices

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Trademarks

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