Investments and Financial Services - Henry Davis York

Investments and Financial Services

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Our market leading investments and financial services practice provides corporate, commercial and regulatory advice in a fast-moving regulatory environment. Our areas of focus include listed and unlisted investment funds, financial markets and derivatives, superannuation, insurance advisory, funds M&A, investment distribution and financial services regulation and enforcement.

Our clients include the wealth management arms of Australian retail and investment banks, global and local fund managers (both new entrants and established players), boutiques, super funds and other market participants, such as brokers and market operators.

We partner with our clients and invest time to understand their businesses and strategic objectives. This enables us to provide seamless, timely and commercially aligned advice. We regularly advise on business establishment, disposals and acquisitions, product development and structuring, significant regulatory change and regulatory investigations, as well as providing more day-to-day support in relation to distribution, disclosure and compliance.

A significant part of our practice involves supporting global fund managers entering and operating in the Australian market. This includes advising on Australian securities regulation in relation to investing in Australian assets, establishing Australian domiciled funds, advising on institutional mandates awarded by Australian institutional investors and applying for licensing relief.

They are very commercial; they understand the financial services industry, our business and our requirements

Chambers Asia-Pacific, 2016


Nikki Bentley


61 2 9947 6245

61 422 004 806

Investment funds and regulatory experts

We regularly advise on complex regulatory issues and continue to be acknowledged by clients for our technical proficiency in this area.

We have a regulatory squad which comprises contentious and non-contentious expertise. The squad is focused on ensuring that our clients have appropriate processes and structures in place to meet and respond to the increased level of regulatory scrutiny and intervention. We understand the complex reputational and risk management issues concerned with regulatory investigations.

We are actively involved in shaping the future of financial services regulation. We often work closely with the Commonwealth Treasury, ASIC and other industry associations. Recently this has involved the new Investment Manager Regime, the Asia Region Funds Passport, the MIT reforms and the OTC derivative reporting requirements.

We dedicate ourselves to delivering thought leadership in the evolving financial services landscape so that our clients benefit from the best and latest ideas on how to tackle the new challenges and opportunities they face.

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Our relevant 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.

  • Insurance Council of Australia

    Advised the Insurance Council of Australia (representative body of general insurers in Australia) and its Board on the corporate governance changes to support  the new General Insurance Code of Practice 2014. This involved designing a new independent and robust corporate governance structure in response to the Code Review recommendations and to meet all stakeholder requirements. We also advised on the process for the adoption of the new Code by all of the insurance members of the ICA.

  • 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

    Advising 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.

  • Top 3 Life Insurer

    Advised one of the largest life insurers in the market on Stronger Super implications for group life and disability policies, advising on and drafting changes to group insurance programs to ensure alignment with SIS conditions of release, MySuper insurance requirements and APRA prudential compliance.

Our insights

Independent endorsements

  • Chambers Asia-Pacific
    Investment Funds
    2016, 2015, 2014, 2013, 2012

  • Chambers Asia-Pacific
    Financial Services Regulation
    2016, 2015, 2014, 2013, 2012

  • The Legal 500 Asia Pacific
    2016, 2015, 2014, 2013, 2012