About Me
Sonnie provides legal advice and compliance support to businesses in the financial services industry. Prior to working with Holley Nethercote he worked for two of the big four banks. He has also worked in a legal/compliance role for a publicly listed company which was responsible entity for several registered managed investment schemes.
At a glance
| Summary |
My Details |
Key areas of expertise:
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- Financial services law
- Corporations law
- Risk management
- Managed investment schemes
- Financial planning
- Disclosure documents (FSGs, PDSs)
- AFSL applications and variations
- Policy submissions
- Relief applications
- Licensee reviews
- Compliance committees
- Debt recovery and litigation
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Admitted to practise:
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Sonnie was admitted to practice in Victoria in 2008. Before this, he was admitted to practice in New Zealand. |
Career achievements:
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While working with Holley Nethercote, Sonnie has:
- Provided legal advice in relation to a number of financial services and commercial matters
- Helped clients obtain and vary AFSLs and ACLs
- Assisted clients with addressing significant breaches of the financial services laws and reporting these breaches to ASIC
- Prepared policy submissions addressed to ASIC and Treasury
- Prepared and reviewed disclosure documents such as FSGs and PDSs
- Reviewed client’s compliance procedures
- Participated in compliance committee meetings
- Successfully applied for relief from legal obligations with ASIC and the NZ Financial Markets Authority
- Conducted AFSL compliance reviews
- Conducted training courses
- Worked on a variety of debt recovery matters
- Drafted various commercial agreements
- Contributed extensively to the firm’s T-REX (Tailored Regulatory Exchange) service
- Published various articles relating to financial services, relating to the obligations of AFS and AC Licensees, risk management, and client engagement for financial planners
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| Qualifications: |
- Bachelor of Laws (LLB) (2003)
- Bachelor of Commerce (economics & finance) (BCom) (2003)
- Masters of Entrepreneurship (MEntr) (2005)
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Future aspirations:
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To continue helping clients meet their commercial objectives by providing sound, practical legal advice.
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| Interests outside of work: |
- Spending time with his wife, Chrissy, and his friends
- Travel
- Tennis
- Technology
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| Favourite quote: |
"The harder I work, the luckier I get." |