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 specialises in the establishment, promotion and operation of investment funds (including listed funds, retail funds, property funds, credit funds and private equity funds), as well as the regulation of financial products and financial services. Vince 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 has worked at ASIC and has enjoyed extensive secondments to Challenger, Colonial First State and OnePath.
Vince’s experience includes advising on:
- fund structuring and governance;
- establishing and operating registered and unregistered managed investment schemes;
- financial services regulation including advice on licensing, disclosure and regulatory compliance across the financial services industry;
- asset management arrangements;
- custodial, registry and fund administration arrangements;
- platform agreements, rebate agreements and distribution agreements;
- on-going regulatory and compliance 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; and
- 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 and disruptive technologies.
Thinking | 24 Dec 2019
In this article, we outline briefly draft regulatory guidance released by ASIC relating to design and distribution obligations (DDO) that will come into effect for financial product issuers and distributors on 5 April 2021, and offer some reflections on some interesting positions taken by ASIC.