Funds Management & Financial Services Regulation Training
Modular training in the law and practice of operating a wholesale fund, an AFSL or an authorised representative business in Australia.
- Modules across property funds management, property development, governance, disclosure documents, compliance & property markets
- Six to eight hours of material, delivered in full or cut to a two to four hour session
- Mix & match modules selected for your licence, fund structure & the roles attending
- Regulatory requirement separated from best practice throughout, with an online quiz & pass threshold on completion
Our Funds Management Regulation Training Services
Modules are selected to match the audience, with regulatory requirement separated from best practice in every module. Our funds management & financial services regulation training covers:
01. Property Funds Management, Development & Markets
How a property fund is designed, run, reported on & divested, the development lifecycle and the markets the fund invests in, including:
- Strategy formulation, investment policy creation, credit policy, credit committee, lending guidelines & constraints, debt facility terms, security & enforcement mechanics, investment committee formation & asset selection.
- Strategy tested against due diligence findings, asset management modelling (liquidity, redemption, debt, forecasting, scenario & stress testing, tenor & return calculations), performance reporting under RG 45 & RG 46, valuation, insurance & ratings house management under RG 79.
- Property development from go/no-go assessment, feasibility modelling & town planning review through development, debt & equity management to settlement & capital distribution, plus property market history, cycles, residential & non-residential segments, major participants & the metrics to understand.
02. Governance, Licensing & Establishment
Modules on how a fund and its operator are structured, licensed and governed under the Corporations Act, including:
- Structuring & establishment: the constitution, trust account & proper instructions, Chapter 5C, regulatory tools, investment management & development management agreements, subscription deeds & the compliance suite, including compliance committee structure & meetings.
- Licensing: corporate authorised representatives & CAR agreements, authorised representatives, reporting, the AFSL application process & capital adequacy.
- Licensee obligations: general obligations, conflicts of interest, financial, human & technological resources, organisational competence, risk management, financial reporting & dispute resolution, with authority delegation, unit pricing & valuation policy, registry & responsible managers.
03. Disclosure Documents & Reporting
Modules on the documents an investor, a regulator, a board or a compliance committee reads, and the verification an Information Memorandum goes through before issue, including:
- Information Memoranda & their verification, application forms & the application process, unit issue, and the PDS & Target Market Determination where a retail offer applies.
- Marketing documents (flyers, teasers, pitch decks & the website) and the consistency each must keep with the IM so that none is misleading or deceptive under s1041H.
- Reporting to regulatory bodies, investors, the board & the compliance committee.
04. Compliance Policies, Registers & Core Concepts
Modules on the policy suite and registers behind a licence, and the statutory concepts every responsible manager and representative is expected to understand, including:
- Policies: training (skills matrix & training plan), conflict of interest, breach & breach reporting, complaints handling, business continuity, cyber security, privacy, compliance plan, whistleblower, risk management, valuation, unit pricing discretions, financial resources, document retention & outsourcing, with the conflict, training, breach, delegated authority & complaints registers behind them.
- AML/CTF under the AML/CTF Act: obligations, designated services, risk assessment, the AML/CTF program, customer due diligence & data collection, verification of identity, suspicious matter reports & other AUSTRAC reporting.
- Core concepts: the meaning of an authorisation, the s1012E disclosure exemption & the licensing it leaves in place, returning to compliance after an ultra vires equity raise, financial product (s763A) & financial advice, dealing, s601ED, s912A, s1041E & s1041H, retail authorisation & s601FC, registered, unregistered & unregulated schemes, RG 259 & RG 181.
Who We Act For
GRM LAW’s funds & financial services lawyers deliver the training to fund operators, representatives, investors and the staff who serve them, including:
Small & New Fund Managers
Teams establishing a first wholesale fund who need the full regulatory picture before they raise.
Developers Building a Funds Capability
Property developers moving from project-by-project equity to a managed fund structure.
Prospective Corporate Authorised Representatives
Businesses preparing to operate under an AFSL as a CAR, separate from the licensee’s own CAR training.
Private Credit Lenders
Sub-institutional, large private & smaller listed lenders whose staff need the funds & licensing framework around their lending.
Family Offices & Offshore Managers
Family offices, and newly arrived or intending offshore managers, who need the Australian funds landscape explained end to end.
Wealth Management & Distribution Platform Staff
Junior to mid-level staff who place wholesale funds and need the law behind the products.
Trustees, Superannuation Entities & SMSFs
Trustees, registrable superannuation entities & self-managed superannuation funds allocating to property & private credit funds.
Investors, Research Houses & Adjacent Entrants
High net worth investors, research houses, non-residential real estate agencies & non-property fund managers entering real estate funds.
Discuss a Training Program for Your Team
Our funds lawyers will contact you to scope the modules, the session length & the dates.
What Our Clients Say
How The Process Works
01.
Scoping & Audience
We confirm who is attending, their roles, the licence & fund structures they work within & the outcomes the session must deliver.
02.
Module Selection
We assemble the modules from the six topic groups & set the length at the full six to eight hours or a two to four hour session.
03.
Delivery
We deliver the session with the relevant chapters of the Corporations Act & Regulations, the AML/CTF Act, regulatory guides, information sheets, legislative instruments & FSC standards & guidance notes collected for the attendees. Recorded modules are available online in predetermined segments.
04.
Assessment & Training Record
Each module ends with an online quiz. Marking is automatic against a set pass threshold, with a redo where it is not met, & the results are retained.
Discuss a Training Program for Your Team
Our funds lawyers will contact you to scope the modules, the session length & the dates.
Why Choose GRM LAW
01. Requirement Marked Apart From Industry Standard
Each module labels what the Corporations Act, the Corporations Regulations, the AML/CTF Act & ASIC legislative instruments require, what ASIC regulatory guides expect, and what FSC Standards 1 & 30 and the FSC Guidance Notes set as best practice.
02. Built From Live Frameworks & Kept Current
The content draws on the governance frameworks, policy suites, registers & critical event calendars GRM LAW designs & maintains for wholesale funds & licensees. Course content is kept current against regulatory change, with modules updated as ASIC, APRA, AUSTRAC, ATO, Treasury, OAIC & court releases change the requirements.
03. Modular by Design
Six topic groups mix & match so a session fits the audience, with a matching module for each policy in a licensee’s suite.
04. Wholesale, Private Credit & Property Focus
The material is built for wholesale funds, private credit & property funds, responsible entities & AFSL licensees, the segments GRM LAW acts for.
05. A Measured Outcome
The board & compliance committee receive a result for every attendee & a record of the modules covered, ready for the training register.
Meet Gavin McInnes
As the founder of GRM LAW, Gavin McInnes has advised key players in banking, private credit, property & funds management across Australia for nearly 20 years. He designs & maintains the AFSL governance frameworks, policy suites, RG 166 financial resources plans & fund document stacks that the training material draws on.
Gavin is an Accredited Specialist in Business Law & personally supervises all funds & financial services work at GRM LAW.
Recognition & Awards
Funds Management Regulation Training Essentials
What Is Required & What Is Expected
The Corporations Act, the Corporations Regulations, the AML/CTF Act & ASIC legislative instruments set the requirements a licensee, trustee or representative must meet; ASIC regulatory guides & information sheets set out how ASIC administers them. FSC Standards 1 & 30 and FSC Guidance Notes 1, 5, 25, 26, 29, 37, 47, 50, 52 & 56 describe the practice the industry expects beyond them. The training marks each point as one or the other.
Disclosure Exemptions & Licensing
s708(8) & s1012E relieve particular offers of securities & of managed investment products from the disclosure requirements of Chapter 6D & Part 7.9 of the Corporations Act. Neither removes the licensing requirements that attach to dealing in or advising on what is offered. The training covers what a developer who has raised equity in reliance on those exemptions without a licence or authorisation faces & how the position is brought back into compliance.
Mix & Match Modules
The material runs to six to eight hours across property funds management, property development, governance, disclosure documents, compliance & property markets. Modules are selected for the audience & the session shortens to two to four hours where a team needs a focused refresher. A team that needs one group only, such as compliance or disclosure documents, takes that group alone. Modules are recorded & available online in predetermined segments. Each module is delivered from a written script, so a change to the content is made in the script & never needs a full re-recording.
Assessment, Pass Threshold & Training Register
Each module ends with its own auto-marked quiz, so a team that sat a two hour session is tested on that content & nothing else. The pass threshold is set before the session & a result below it means a redo. Retained results give the training register, skills matrix & training plan a record of who completed what & when.
Discuss a Training Program for Your Team
Our funds lawyers will contact you to scope the modules, the session length & the dates.
Legal & Compliance Insights
Books By Gavin McInnes
Practical guides on structuring, asset protection and private credit in Australia.
Protect Your Assets
A plain‑English guide to protecting your home, business interests and investments under Australian law. Written for business owners, professionals and families who want to keep what they’ve built safe from avoidable risk.Â
Private Credit In Australia (Coming Soon)
A forthcoming guide to structuring, documenting and managing private credit transactions in the Australian market, written for lenders, sponsors and their advisers.Â
Explore Our Other Practice Areas
Deep expertise across corporate, banking & finance, property and related commercial work.
Private Lenders & Non‑Bank Finance
Strategic loan, security & enforcement advice for private credit funds, family offices & non‑bank lenders across Australia.Â
Property Development & Projects
End‑to‑end legal support for property developers from site acquisition & approvals through to construction, sales, leasing & disputes.Â
Business Acquisitions & Disposals
Buy‑side & sell‑side advice on business and share sales, from initial structuring and due diligence through to completion.
Corporate & Commercial Advisory
Ongoing corporate, governance & commercial contracts advice for private companies, family businesses & investors.
Structuring & Asset Protection
Structuring businesses, investments & personal wealth to manage risk, protect assets and support long‑term succession.
Franchising
Establishing, growing & restructuring franchise networks, including franchise agreements, disclosure, compliance & exits.
IP & Technology
Protecting and commercialising intellectual property, software & technology through tailored licensing, development & sale agreements.Â
Cyber & Privacy Law
Legal‑first breach response, privacy compliance, AI governance & cyber risk advisory for boards, directors & businesses across Australia.
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