account terms AFS licences APRA prudential standards ASIC enquiries asset-backed financing ASX listing & market rules Banking Code business structures capital adequacy and surplus liquid fund requirements capital protection products CFDs charges collateralised trading & financing commodities & metals compliance breaches compliance plans consumer credit code corporate and trust restructuring corporate restructures credit facilities dealer services deposit notes derivatives directors’ duties disclaimers distribution due diligence equity swaps escrow ESOP	ETOs financial product design FIRB approvals FSGs funding agreements funds management futures FX governance guarantees HNW asset and risk management hybrid securities IDPSs IMAs, SMAs & MDAs Insolvency management instalments investment management investor agreements ISDA documentation ISDA-based structured transactions joint ventures licensing loans meetings mezzanine finance mortgages offer documents (PDS, Prospectus, OIS) offshore capital raisings options partnerships (limited venture capital)	payments netting performance bonds placements portfolio management portfolio transition priority arrangements quirky financial products responsible entities (licensing, duties, agreements) rights issues scheme constitutions scheme registration schemes of arrangement securities lending securitisation security enforcement stamp duty structured equity and debt financing substantial holdings substantial holdings disclosure management superannuation syndicated lending threshold management traders training trading terms trusts underwriting venture capital warrants – listed & unlisted
… and the things that happen in a financial services business:
anti-discrimination advertising business acquisitions and sales business succession confidentiality agreements consulting & contractors director access deeds employment agreements employment hiring and firing equal opportunity	GST injunctions insurance polices and claims IT contracts review litigation disputes occupational health & safety premises privacy proprietor equity management regulatory investigations & hearings	remuneration revenue law (duties) service agreements services level agreements subpoena management tax agreements (RCTIs, tax sharing) trade practices trademarks vendor insolvency

© Copyright Audax Legal Pty Limited 2008   Terms of use.