Managed Investment Schemes
Licensee Solutions and Halsey Legal Services provide many services relating to managed investment schemes (MIS).
Establishing a scheme
If you are interested in setting up a Managed Investment Scheme, our associated law firm, Halsey Legal Services (HLS) may be able to help you.
HLS can provide you with a range of services, including:
- advice on the best structure for the entities involved and the outcomes to be achieved;
- documents, including compliance plans, constitutions, intermediary agreements, mandate letters and disclosure documents such as product disclosure statements or information memorandums;
- advice on key outsourcing arrangements including custody, administration, registration and broker arrangements;
- advice on structuring fees, profit sharing arrangements (such as performance fees) and employee incentive arrangements;
- advice on corporate governance, conflict resolution mechanisms and regulatory compliance;
- review of marketing materials or any existing disclosure documents;
- advice in respect of incentive programs for retaining key funds management personnel; and
- liaison with ATO, and obtaining product rulings where appropriate.
Running a scheme
Licensee Solutions provides all kinds of compliance support to the operators of MIS's. These include:
- assistance with licence application;
- registration of scheme papers for registered MIS;
- facilitating compliance committee meetings;
- preparing compliance plans;
- assisting with breach reporting; and
- liaison with auditors.
It is not uncommon for disputes to develop between:
- members and the responsible entity or trustee; or
- responsible entity and manager.
Please go to the Halsey Legal Website for any services relating to disputes.
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