Corporate Advisory and Governance, Financial Services Regulation and Funds Management, Foreign Investment, Financial Services
Lucy regularly advises domestic and international clients on Australian financial services licensing requirements. She has broad experience across related regulatory matters including payments and derivatives regulation, Financial Sector (Collection of Data) Act 2001 (FSCODA) requirements, privacy, and anti-money laundering and counter-terrorism financing obligations.
Lucy is regularly engaged to advise clients on emerging regulatory developments, including the AMIT regime, MiFID II, GDPR, design and distribution obligations (DDO), breach reporting, add-on insurance, and anti-hawking provisions, and engages with Australian regulators, including in relation to bespoke licensing relief applications in response to changes to the treatment of foreign financial service providers.
She also has extensive experience advising a diverse range of clients across both private and public sectors, including banks, government agencies, fund managers, and superannuation entities on an expansive range matters relating to fund transactions and investment activities, structured through both domestic and offshore vehicles.
Advising the bank on its Australian custody, administration and registry business, updating their template agreements in line with regulatory developments.
Advising an Australian carbon market financial services licensee as part of a joint venture with an established private equity fund manager to establish one of Australia’s first carbon funds
Providing a large Australian Private Equity, Private Credit and private equity fund manager, with over $3.5 billion AUM, with an independent review of their AML program
Establishment of an ESVCLP/managed investment trust, including regulatory engagement, licensing arrangements and ongoing advice in respect of portfolio investments
