Today we speak with Chris Mee who is a specialist financial services lawyer at CNM Legal about a recent case that is going to have significant ramifications for the financial services industry.  I’ll be talking to Chris from time to time about other important things affecting the financial services industry as and when they arise.’

Today we speak with Chris Mee who is a specialist financial services lawyer at CNM Legal about a recent case that is going to have significant ramifications for the financial services industry.  I’ll be talking to Chris from time to time about other important things affecting the financial services industry as and when they arise.’

A legal podcast where Principal of CNM Legal Chris Mee joins us to talk about news affecting the Australian financial services industry. Chris will bring his 20-plus years of expertise as a financial services lawyer, breaking down all the relevant court cases, ASIC decisions, and other interesting things across the sector as they arise.

A legal podcast where Principal of CNM Legal Chris Mee joins us to talk about news affecting the Australian financial services industry. Chris will bring his 20-plus years of expertise as a financial services lawyer, breaking down all the relevant court cases, ASIC decisions, and other interesting things across the sector as they arise.

The CNM Legal Podcast

Federal Court: authorised representatives of AFS licensees can do anything (almost)

Solicitors Jessica Bauers and Alanah McAliece to explain the vital role of Responsible Managers (RMs) for an Australian Financial Services Licence (AFSL). The discussion covers what an RM is, how ASIC assesses their qualifications and experience (including the 'responsible manager matrix' and RG 105), the difference in the appointment process when applying for a new license versus replacing an existing RM, their core day-to-day responsibilities, and the accountability RMs face from ASIC if they fail to actively perform their duties.

Solicitors Jessica Bauers and Alanah McAliece to explain the vital role of Responsible Managers (RMs) for an Australian Financial Services Licence (AFSL). The discussion covers what an RM is, how ASIC assesses their qualifications and experience (including the 'responsible manager matrix' and RG 105), the difference in the appointment process when applying for a new license versus replacing an existing RM, their core day-to-day responsibilities, and the accountability RMs face from ASIC if they fail to actively perform their duties.

Responsible Managers (RMs): AFSL Requirements, Appointment, and Risk

In this episode, our guest Mark Wist from Property Resolutions joins us to discuss the potential pitfalls of raising capital for development projects, how to avoid them and what can happen when you get it wrong. We discuss topics like the problems trying to use exemptions from financial services laws to raise capital and operate investment vehicles,  AFS licensing requirements for developers, and the dangers of false advertising claims when selling the investment.

In this episode, our guest Mark Wist from Property Resolutions joins us to discuss the potential pitfalls of raising capital for development projects, how to avoid them and what can happen when you get it wrong. We discuss topics like the problems trying to use exemptions from financial services laws to raise capital and operate investment vehicles,  AFS licensing requirements for developers, and the dangers of false advertising claims when selling the investment.

Raising equity for property development projects: legal and compliance tips and traps

There has been considerable regulatory uncertainty around exemption relief for offshore fund managers since 2020. With a probable decision looming in April 2025, Chris Mee of CNM Legal runs us through what’s expected to change when it comes to relief instruments, and how offshore fund managers should prepare.

There has been considerable regulatory uncertainty around exemption relief for offshore fund managers since 2020. With a probable decision looming in April 2025, Chris Mee of CNM Legal runs us through what’s expected to change when it comes to relief instruments, and how offshore fund managers should prepare.

Federal Court: authorised representatives of AFS licensees can do anything (almost)

The CNM Legal Podcast

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The CNM Legal Podcast

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