Violet is an Associate in the Financial Services Regulation team based in Brisbane, Australia. She assists clients including banks, funds managers, retail insurers, and FinTechs with complex regulatory and compliance issues.
Her experience extends across areas including general corporate and commercial work, cross-border mergers and acquisitions, multifaceted financial services advisory projects, national and international regulatory investigations, commercial litigation and international arbitration. She is a committee member of the Asian Australian Lawyers Association (Queensland branch). She also co-authored privacy related articles in the Privacy Law Bulletin on LexisNexis.
Financial Services Regulation
- National and International fund managers – working with leading global funds manager regarding conducting operations within the Australian business landscape; conducted due diligence and assisted with two M&A transactions of funds management companies both on a national and international level, with a strong AFSL focus involving assets under management exceeding US$500m globally.
- National funds management companies – assisted with the PDS’ production for various registered funds, led the document production team as the lead solicitor, arranged and facilitated stakeholder meetings; assisted with the review of the associated entities’ AML/CTF programs, and provided advice relating to a venture capital fund.
- Leading national crowdfunding investment platform and various cryptocurrency firms – working with leading Web3 businesses and crypto start-ups on tokenised fundraising on secondary markets, and advising on regulatory and compliance frameworks.
- National Islamic finance and investments provider – providing ongoing compliance advisory assistance to a leading Shariah compliance finance and investments provider, to provide advice on its policies and procedures, compliance and control framework, outsourcing arrangements and various operations to ensure compliance with its ACL and AFSL obligations.
- Financial institution providing medical finance solutions – advising lenders and payment service providers in relation to outsourcing arrangements, data protection and regulatory compliance.
- Leading Aboriginal Community Controlled Health Service provider – assisted with the funding contracts and preparation for relevant negotiations with multiple parties involving the federal and state governments.
- National human resource consulting entities – assisting and advising boards on best practice governance, including directors’ duties and conflict of interest.
- Regulatory defences - assisted clients on various projects responding to regulator investigations, including notices from ASIC, APRA and the FMA. Provided extensive documents in accordance with the regulators’ protocols and produced written submissions in response to the notices. Assisted a NFP entity with responding to coronial and ombudsman inquiries and investigations.
- Large scale national insurer – assisted with the review of website Terms and Conditions, advising on potentially reportable breaches and responses to ASIC investigations.
- Crypto related disputes - represented clients in bringing arbitration proceedings in the Singapore International Arbitration Centre and International Chamber of Commerce (Paris), for crypto-related disputes.