Vince Battaglia

Partner

Qualifications: LLM, LLB, BComm

Industries

Practices

Vince Battaglia is an experienced funds management and financial services practitioner, working with Australian and global fund managers.

Vince has extensive experience in retail and wholesale financial services and funds management.  He is experienced in advising on a wide range of financial products including managed investment products, securities, derivatives, non-cash payment products, superannuation products, life policies and annuities.

Vince’s expertise includes the following:

  • Fund structuring, governance and re-organisations
  • Establishing and operating registered and unregistered managed investment schemes
  • Financial product development, disclosure, licensing and distribution
  • Financial sector regulation
  • Asset management arrangements
  • Custodial, registry and fund administration arrangements
  • On-going regulatory, compliance and dispute resolution matters in the financial services sector
  • Transactions in the financial services sector
  • Funds M&A, including private M&A transactions and trust mergers of ASX-listed schemes
  • Capital raisings including fund IPOs, trust-based note issues and corporate debenture issues
  • Cross border investments
  • Establishing a financial services business in Australia
  • Trustee company regulation.

In addition, Vince’s experience includes advising on and structuring fintech investment products (and start-up businesses), including peer-to-peer/marketplace lending platforms.

Vince has worked at ASIC and has enjoyed extensive secondments to Challenger, Colonial First State and OnePath.

Experience

  • Acting for KM Property Funds on the establishment of a number of wholesale and retail single asset property funds.
  • Advising Cadence Property Group on joint venture with Assembly Funds Management to acquire a shopping centre in western Melbourne.
  • Advising Australian Unity on the establishment of a fund holding specialist disability accommodation and associated initial capital raising.
  • Acting for EG on the establishment and associated fundraising in relation to a single asset property fund.
  • Advising Ironbark Asset Management on a range of its retail funds.
  • Advising Ellerston Capital on the establishment of a range of SIV-compliant funds.
  • Acting for a fund manager on the acquisition of interests in a large student accommodation and mixed-use development in the Melbourne CBD.
  • Advising Ellerston Capital on the internalisation of the management of a retail fund.
  • Advising Bizcap on the establishment of a peer-to-peer wholesale lending business.
  • Acting for Overseas Union Finance on the establishment of wholesale mortgage and mezzanine financing funds.
  • Advising Copia Investment Partners on the establishment of a retail feeder fund that invests in a UCIT.
  • Advising a number of start-up businesses that offer investments in managed funds via a mobile app.

Professional Membership

  • Member, Issues and Regulatory Committee of the Property Funds Association

Latest thinking

Financial Services | 28 Apr 2021

Financial Services in Focus – Issue 53

In this edition, we report on draft ASIC guidance on the new breach reporting regime, new claims handling and settling regulations, draft legislation on replacing FASEA, and much more.