About PMC Legal

We provide practical legal solutions to financial services businesses.
Our experienced lawyers expertly break down complex legal issues to help our clients navigate the regulatory landscape.

About PMC Legal

PMC Legal is a financial services law firm with extensive experience in the financial services sector, with a focus on managed funds.

We are commercial, experienced and practical. We listen to your needs and strive to make this complex part of the law simpler and accessible for your business.

We advise investment managers, wholesale trustees, responsible entities, superannuation trustees, custodians, administrators, platform providers and MDA operators, financial advisors and other key stakeholders in the managed funds industry.

We have deep expertise in a broad range of matters, including:

  • fund establishment (domestic and offshore and wholesale and retail across all asset classes)
  • private equity fund establishment (venture capital partnerships and managed investment trusts)
  • AFS licensing requirements
  • investment management (covering traditional asset classes and alternative assets including private equity and venture capital)
  • regulatory law matters (including regulatory advices, AFS licensing, compliance, ASIC liaison, AML/CTF expertise and privacy)
  • outsourcing arrangements (including investment management, fund operation, fund administration, middle office, custody and distribution)
  • ASX/Chi-X quotations
  • fund restructures and
  • general corporate and commercial law matters for both new market entrants and established and mature businesses.

We focus on our strengths. We don’t advise in areas outside of our core expertise. But we understand all businesses need to work through a range of legal and regulatory requirements not limited to financial services such as tax, human resources, intellectual property and disputes from time to time. We have relationships with a range of professional experts who can assist with your needs in these areas where required.

“We are a highly commercial, intelligent and driven team of financial services experts. Helping clients achieve their business goals and working within a collegiate and respectful team of like-minded lawyers is incredibly rewarding. We love what we do.”

Paula McCabe

How we can assist you

We would be delighted to assist you with any (or all) of the following services for your financial services business:

  • Establish your financial services business (e.g., advice on how best to structure your new financial services venture, make introductions to potential services providers, prepare shareholders’ agreements, and advise on your financial services obligations
  • Provide expert funds structuring advice
  • Establish any funds you wish to offer (managed investment schemes or venture capital partnerships) and assist with registrations (ASIC or Innovation, Industry and Science Australia)
  • Assist with negotiations and appointment of service providers to your funds (including third party trustees/responsible entities, investment managers, custodians, administrators and registry providers)
  • Prepare offer documents (product disclosures statements and information memoranda) and marketing materials
  • Investment, advisory and compliance committee documents
  • Prepare AFSL applications and variations and supporting documents
  • Assist with risk, compliance and governance arrangements associated or incidental to the operation of your licence/financial services business
  • Assist with CAR appointments and other licensing arrangements
  • AML/CTF programs and independent reviews
  • Distribution agreements
  • Investor and confidentiality documents
  • Website terms
  • Foreign financial services provider support

We can provide fee proposals and pricing options once the scope of services is clear.

Our clients

We have a broad range of clients. They range from start-ups and boutiques to ASX listed entities and global and multinational organisations. Clients have funds under management ranging from $5 million to $50 billion and growing.