Alan is a special counsel in Baker McKenzie's Financial Services & Funds team in Sydney.
Alan advises corporates, investment banks, financial product platform providers, superannuation trustees, responsible entities, investment managers, financial advisers, brokers and intermediaries on a range of areas relating to financial services, financial products, financial markets and related regulatory issues. His practice is focused on acting for financial market participants on the development, operation and distribution of financial products (including complex financial products using derivatives and digital assets) and providing advice to clients in respect of their obligations under the financial services laws. He has extensive experience in investment banking regulatory compliance, derivatives, structured products, investment lending, managed investment schemes and superannuation products.
Representative Legal Matters
- Advising on the structuring and pricing of financial products including multi asset derivatives, bank issued securities, managed investment schemes and superannuation.
- Advising on governance and regulatory frameworks for global financial services businesses including product, issuance and distribution due diligence.
- Advising on the design and operation of superannuation and investment platforms including separately managed accounts and managed discretionary accounts.
- Advising on regulatory law issues relating to financial products, financial markets and provision of financial services.
- Advising on a broad range of financial services matters in previous in-house financial services roles, including at ASIC. Alan has also provided expert evidence in relation to litigation on financial product issuance and distribution.
Professional Associations and Memberships
- Law Society of New South Wales - Member
- New South Wales~Australia (1998)
- University of Technology Sydney (LLB, with honors, First Class) (1998)
- University of Sydney (BEc) (1986)
Baker & McKenzie, an Australian Partnership, is a member of Baker & McKenzie International, a Swiss Verein.