I understand the financial services industry and thrive on helping our clients in this industry succeed.

Nikki in 60 seconds

Nikki is the Group Leader of Henry Davis York's Corporate Group, which includes the legal teams for Corporate / Mergers & Acquisitions; Investments & Financial Services and Tax.

Nikki is a leading investment funds advisor specialising in financial services and corporate law.  She specialises in business establishment and structuring, fund establishment, funds merger and acquisition, product disclosure and distribution. Nikki leads HDY's corporate group which combines expertise from the Financial Services, M&A and Tax areas.

Nikki provides advice to leading Australian and global fund managers on a full range of corporate, commercial and regulatory issues facing their businesses. She has considerable experience in assisting clients with fund establishment (onshore and offshore), disclosure and distribution. Nikki regularly advises clients on establishing, buying, selling and restructuring their businesses. She also regularly assists clients responding to regulatory enquiries and investigations.

With more than 15 years funds management experience in private practice, government and as an in-house lawyer, Nikki's practice spans the range of funds management products, with particular expertise in hedge funds, property funds and equities.

Nikki is regularly involved in industry and government discussions on regulatory reforms impacting the Australian funds management industry. Nikki is a passionate advocate for the development of a new corporate collective investment vehicle because of the opportunities it could provide to grow the funds management industry. She is the Honorary Legal Counsel and Chair of the Regulatory Committee for the Australian branch of the Alternative Investment Management Association (AIMA) and is a regular participant on the Financial Services Council (FSC) working groups.

Qualifications

  • LLB

Independent Recognition

  • Recognised as a leading lawyer in the areas of Financial Services Regulation and Investment Funds by Chambers Asia Pacific 2016, 2015, 2014, 2013 and 2012
  • Listed as an expert in Funds Management since 2013 and in Investment Law since 2016 in Best Lawyers

Industry associations

  • Honorary Legal Counsel and Chair of the Regulatory Committee for the Australian branch of the Alternative Investment Management Association (AIMA)
  • Member of the Financial Services Council (FSC) (Regulatory Affairs Working Group and Product Rationalisation Working Group)

Nikki's Recent Experience

Centuria Property Funds Limited

Advised Centuria Property Funds Limited (as responsible entity of Centuria Metropolitan REIT No.1 and Centuria Metropolitan REIT No.2 (together, CMA)) on an underwritten accelerated non-renounceable entitlement offer to raise approximately $100m.

Global Asset Manager

Advised a global asset manager in relation to the purchase of an Asia-Pacific property funds platform in relation to the Australian assets. This included assisting on the due diligence of the Australian domiciled funds, advising on Australian regulatory, employment and tax issues and advised on the principal sale and transfer documentation.

Global Fund Manager

Advised a global fund manager on its appointment to manage a $680 million mandate by a Sovereign Wealth Fund.  We advised on structuring, documentation and assisted with negotiations.

Henderson Global Investors (Australia)

Acted for Henderson in the change of responsible entity of 11 registered schemes from IOOF to Henderson as part of its acquisition of fund managers, Perennial Fixed Interest Partners Pty Ltd and Perennial Growth Management Pty Ltd which have combined assets under management of over $10bn.  This included advising on the transition of responsible entity and integration of the funds onto Henderson's Australian platform, including the change of key service providers to the funds.

Prodigy Investment Partners Limited

We advised Prodigy Investment Partners Limited, a joint venture between Euroz Limited and Mr Steve Tucker, on the establishment of its first boutique funds management business, Flinders Investment Partners, a specialist Australian small and emerging companies investment manager. HDY advised on structuring and the documentation to establish the boutique and on the establishment of the Flinders Emerging Companies Fund.

Nikki's Recent Insights

The Monthly Wrap Up – April 2017

  • 03 May 2017

ASIC updates FAQs on fees and costs disclosureOn 27 April 2017 ASIC updated its FAQs on fees and costs disclosure. The updates are to questions 9 to 13, which concern disclosure of performance fees...

Fast facts about Collective Investment Vehicles (CIVs)

  • 26 Apr 2017

The new CIV regime is a game-changer, with the potential to redefine and transform the Australian investment funds landscape. We believe that the new CIV regime will:enable Australian managers to ...

ASIC releases guide on risk management systems – how will responsible entities be impacted?

  • 10 Apr 2017

On 27 March 2017 ASIC released Regulatory Guide 259: Risk management systems of responsible entities (RG 259). RG 259 provides guidance for responsible entities (REs) on how to comply with their AF...

Beware ASIC acts on licensing exemption compliance failures

  • 24 Mar 2017

Earlier this week the Australian Securities and Investments Commission (ASIC) accepted an enforceable undertaking (EU) from three related foreign financial services providers (FFSPs), which include...