Align Law

financial services

We advise and support clients working in all aspects of the financial services industry, from fund managers and structured finance providers to commercial and retail lenders and borrowers.

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The financial services sector is dynamic and highly regulated. We provide transactional and operational advice, regulatory guidance and facilitate transactions at all levels and of every size.

We focus on ensuring the commercial aims of our clients are achieved while meeting the regulatory and transactional requirements of each transaction. Because financial transactions always carry an element of risk we also work to protect and secure our clients' interests at every stage. With Align Law you can rest assured your business interests are being well looked after.

Align Law can provide the following legal services in the financial services sector:

  • financial services regulation and licensing
  • investment funds and property funds
  • superannuation
  • financial product distribution
  • financial services compliance
  • non-cash payments
  • anti-money laundering
  • crowdfunding
  • responding to ASIC surveillance
meet the team

notable projects

  • minerals and resources projects

    Advised a large international mining company (listed on the HXE) with an annual turnover of $5.8+ billion on various aspects of its operations all over Australia.

  • off-market asx merger

    Advised in relation to the merger of two ASX listed oil and gas companies via a recommended off-market takeover bid valued at $31.5 million.

  • regulated market divestment and re-compliance

    Advised on the spin out of downstream assets from an ASX listed parent company in a transaction to redomicile group assets to a European market whilst maintaining the parent company's ASX listing.

  • cross-border acquisition and listing of multi-tenement production and exploration assets

    Advised a locally controlled entity on its acquisition of a $15 million p/a base metal project and multi-tenement Zn/Cu/Au exploration assets in Southern Chile from EuroNext listed operator. Transaction included a contemporaneous debt/equity financing component with Macquarie Bank (taking place across 6 international jurisdictions), and subsequent capital raising and LSE listing.

  • significant tenement acquisition

    Advised ASX listed gold producer on the acquisition of the Mt Holland Project, now the largest lithium development in Australia, including obtaining approval for 'Chapter 10' purposes due to involvement from a related party financier.

  • divestment of assets for asx listed entity

    Advised in sale of a subsidiary of an ASX listed company valued at $15 million, including drafting Notice of Meeting disclosure booklet for shareholders, ASX notifications and announcements in compliance with ASX listing rules.