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

  • Advised Home Owners Partnering Equity (HOPE), a not-for-profit group, on an innovative shared equity housing arrangement that aims to help essential workers own a home closer to work.
  • Acting for KM Property Funds on the establishment of a number of wholesale and retail close-ended single asset property funds, as well as the multi-asset open-ended Community and Social Services Property Fund.
  • Advising Australian Unity on the merger between the Altius Bond Fund and the Altius Sustainable Bond Fund, by way of scrip for scrip merger.
  • Acting for a fund manager in the establishment of a wholesale private equity fund that will co-invest in residential real estate to offer housing solutions for essential Australian workers.
  • Advising Upstreet on the establishment, structuring and promotion of a share rewards program for shoppers offered via a registered scheme known as the Upstreet Fund.
  • Advising Australian Unity on the establishment of a fund holding specialist disability accommodation and associated initial capital raising.
  • Advising Ironbark Asset Management on a range of its retail funds.
  • Advising Ellerston Capital on the establishment of a range of SIV-compliant funds.
  • 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.
  • Advising a number of start-up businesses that offer investments in managed funds via a mobile app.
  • Advising Cadence Property Group on joint ventures with Assembly Funds Management to acquire a number of retail and industrial properties.
  • Acting for a large fund manager in relation to the establishment of an SPV feeder fund into a large stapled office fund.
  • Acting for Cache Investment Management in relation to the establishment and promotion of a number of retail and wholesale securities funds.
  • Acting for Sire Custodians on the establishment and promotion of a registered scheme which offers partial interests in a number of racehorses.
  • Advising a number of financial services providers on the implementation of the design and distribution obligations regime.

Professional Membership

  • Member, Issues and Regulatory Committee of the Property Funds Association
  • Member, Financial Services Committee of the Business Law Section of the Law Council of Australia

Latest thinking

Financial Services | 5 Aug 2022

Financial Services in Focus – Issue 70

In this edition, we consider exposure draft legislation to adjust how faith-based super products are treated under the annual performance test, and much more.