+61 2 8247 7400 info@audaxlegal.com

Our Services

Our core areas are in:
  • financial services – broking; capital markets; wealth product generation; funds management
  • capital raising
  • investment banking
  • corporate transactions
  • asset and risk management for personal investment businesses

Our clients are mainly:

  • issuers of financial products
  • operators of financial services
  • stockbrokers, dealers and other financial market participants
  • entrepreneurial fund managers
  • Pre-IPO capital investors or companies
  • Investors
  • pioneers in financial services

This short sample of our work shows our focus on financial services businesses:

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