Mark has a wealth of experience in providing advisory, transactional and dispute resolution services to institutions in the financial services industry, including fund managers, superannuation trustees, financial advisers and other financial services and credit licence holders.
In recent years Mark has advised responsible entities and trustees in the establishment of retail and wholesale funds with assets including property, securities, derivatives, loans and cryptocurrency.
Having worked at ASIC for five years, Mark specialises in regulatory affairs ranging from compliance advice, advising on response to notices to ASIC Enforcement actions.
Mark also has extensive experience in governance, advising on matters such as conflicts of interest, directors’ duties, the appointment of independent chairs, and investment due diligence.
Expertise
Mark’s expertise includes:
- AFS and RSE licensee obligations, including applications, conduct and disclosure (including SOAs, FSGs and PDSs)
- Establishment of registered and unregistered managed investment schemes
- Anti-money laundering and counter terrorism financing
- Corporations Act, the Privacy Act and the National Consumer Credit (Protection) Act
- Dispute resolution
- Trusts
- Consumer protection
- Professional indemnity & directors’ and officers’ insurance
- Investment and asset management arrangements
- Administration and custodial agreements
- Advising on regulatory actions
- Preparation of employment agreements, consultancy agreements and service agreements for employees in the financial services sector
- Banking & Financial Institutions ,
Sector
- Financial Services ,
Services
location
Melbourne
Thinking
Financial Services
ASIC v Firstmac – Reshaping “reasonable...
Financial Services
Trustees required to lift their game on...
Financial Services
9 critical lessons from the latest...
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Scams, Braz and the Financial Accountability...
Financial Services
RegTracker 22 May 2023
Financial Services
RegTracker 24 April 2023
Financial Services
Legislating the objective of superannuation
...
Financial Services
Access to offenders’ superannuation for...
Financial Services
RegTracker 19 December 2022
Financial Services
Increased regulatory risks from Privacy Act...
Financial Services
RegTracker 22 November 2022
Financial Services
APRA consults on strengthening SFT...
Financial Services
ASIC rolls out the stop orders on Target...
Financial Services
RegTracker 18 October 2022
Financial Services
RegTracker 16 September 2022
Financial Services
RegTracker 23 August 2022
Financial Services
RegTracker 25 July 2022
Financial Services
RegTracker 11 April 2022
Financial Services
RegTracker 4 April 2022
Financial Services
RegTracker 28 March 2022
Financial Services
RegTracker 21 March 2022
Financial Services
RegTracker 28 February 2022
Financial Services
RegTracker 21 February 2022
Financial Services
RegTracker 14 February 2022
Financial Services
RegTracker 20 December 2021
Financial Services
RegTracker 29 November 2021
Financial Services
RegTracker 22 November 2021
Financial Services
RegTracker 15 November 2021
Financial Services
RegTracker 8 November 2021
Financial Services
RegTracker 1 November 2021
Financial Services
RegTracker 25 October 2021
Financial Services
RegTracker 18 October 2021
Financial Services
RegTracker 11 October 2021
Financial Services
RegTracker 4 October 2021
Financial Services
RegTracker 27 September 2021
Financial Services
RegTracker 20 September 2021
Financial Services
RegTracker 13 September 2021
Financial Services
RegTracker 30 August 2021
Financial Services
RegTracker 23 August 2021
Financial Services
RegTracker 16 August 2021
Private Advisory
Digital asset ‘Safe Harbour’ and Digital...
Financial Services
RegTracker 26 March 2021 – ASIC’s...
Financial Services
RegTracker 3 March 2021 – Spotlight on the...
Private Advisory
Submission to the Second Issues Paper...
Financial Services
RegTracker – 14 December 2020 –...
Financial Services
Design and Distribution Obligations
Financial Services
RegTracker – 30 Nov 2020 –...
Financial Services
RegTracker 16 Nov 2020 – Spotlight on Hayne...
Financial Services
McVeigh v Rest – a new standard for...
Financial Services
RegTracker – Super – 2 November...
Financial Services
RegTracker – Super – 19 October...
Financial Services
RegTracker – Super – 5 October 2020
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Financial Services
RegTracker-Super-21 September 2020
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RegTracker – Super – 7 September...
Financial Services
RegTracker – Super – 21 August 2020
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Financial Services
RegTracker – Super – 7 August...
Financial Services
RegTracker – Super – 27 July...
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RegTracker – Super – 13 July...
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RegTracker – Super – 26 June...
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RegTracker – Super – 12 June...
Financial Services
RegTracker – Super – 29 May 2020
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Financial Services
RegTracker – Super – 15 May 2020
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COVID-19
RegTracker – Super – 1 May 2020
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COVID-19
ASIC Relief on COVID-19 advice –...
COVID-19
COVID-19 Early access to super
Financial Services
AFCA – three months in
Financial Services
Personal advice and ethics – crossing the...
Financial Services
AFCA is here and it will cast a wider net
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Financial Services
AFCA on the way – disclosure relief and...
Financial Services
AFCA on the way – 10 weeks to go
Financial Services
Court Approval: Don’t take it for granted
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M&A/Corporate Advisory
Spotlight on Super – May 2016
Financial Services
The Budget 2016-17: How it affects Financial...
M&A/Corporate Advisory
Spotlight on Super – April 2016
...
Financial Services
Back to the drawing board for Willmott class...
Financial Services
‘Bitter Harvest’ – Senate Economics...
Financial Services
Senate Inquiry Report into Forestry Managed...
Financial Services
The devil is in the detail
M&A/Corporate Advisory
Spotlight on Super – February 2016
...
Financial Services
Corporations Amendment (Crowd-Sourced...
Financial Services
ASIC Releases Licensing and Registration...
Financial Services
Accountant banned for 6 years for engaging in...
Financial Services
ASIC Seeks Improved Compliance by Super...
M&A/Corporate Advisory
Australian Significant Investment Visa...
M&A/Corporate Advisory
Managed funds and custodians – It’s time...
Financial Services
Accountants – don’t be shut out of super
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Partner
Stephen Putnins
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