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Product Providers

Product Providers

Product providers we assist include:

  • Superannuation funds
  • Banks
  • Managed Investment Schemes (Registered and unregistered)
  • Corporate Collective Investment Vehicles (wholesale and retail)
  • MDA Providers
  • Crowd Sourced Funding Platforms
  • Peer to Peer (P2P) lenders
  • CFD Providers (including providers of crypto-based derivative products including perpetual futures products)
  • Payment Service Providers including Non-Cash Payment Facility (NCP) issuers and providers who rely on distributed ledger technologies and crypto-asset intermediaries
  • Corporate Remitters (issuers of spot FX, Forward FX and FX Option products)
  • Insurers (Life and General Insurance)
  • Other DeFi and CeFi protocol providers

Clients range from boutique investment managers through to global investment banks.  Because we specialise in financial services, we’re well equipped to assist you from routine AFSL applications with HN Licensing, through to complex legal advice and support dealing with the regulator through Holley Nethercote Lawyers.

Design and Distribution Obligations

We assist AFS licensees, authorised representatives, credit licensees and credit representatives to meet their design and distribution obligations.

Whether you’re launching a new product, engaged in product distribution or reviewing your current arrangements, we can assist you with every step of the process.

These obligations require (AFSL and ACL) licensees to ensure they maintain a consumer-centric approach when designing and distributing products.

The design and distribution obligations require licensees to:

  • design and distribute products that are likely to be consistent with the likely objectives, financial situations and needs of consumers; and
  • target products to consumers who would benefit from them, in order to improve customer outcomes.

These obligations require product issuers and distributors to develop and maintain effective product governance arrangements across the lifecycle of financial products.

Contact us for help with your:

  • product launch;
  • design and distribution obligations;
  • product governance arrangements;
  • target market determinations; and
  • questions on DDO.

More ways we can help

Establishing an MIS

If you want to know what’s involved in establishing and running a Managed Investment Scheme (MIS), check out our expert interview with one of Holley Nethercote’s Partners, David Court.

Sign in to the HN Hub to watch the full interview.

Crypto offerings

Crypto assets and tokens are now mainstream. Our firm acts for some of the world’s biggest multidisciplinary crypto groups – spot exchanges, earn/staking providers, lenders/borrowers, offerers of perpetual futures, and payment providers.

We no longer have a single team of crypto-expert lawyers. All of our lawyers understand that crypto technologies and protocols are impacting on all aspects of traditional financial (TradFi) markets.

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Product Providers

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