Sonnie works as a regulatory compliance consultant in Compact and a solicitor in Holley Nethercote’s financial services team.
Sonnie graduated with an LLB and BCom from Otago University, New Zealand, and completed a Masters degree from the Otago University School of Business shortly after. He is admitted to practice law in New Zealand and Australia. Before working with Holley Nethercote and Compact, Sonnie worked in several Australian financial services organisations, including NAB and ANZ.
Since joining Compact and Holley Nethercote in January 2009, he has worked on a wide range of tasks, including:
- A ten month secondment for a publicly listed asset management firm, which is a responsible entity for several registered managed investment schemes;
- Drafting legal advices on a variety of matters, including whether certain organisations require AFSLs and what relief (if any) apply; and also in relation to nuances in the new Australian Credit Licensing regime;
- Conducting and preparing AFSL compliance reviews;
- Successfully assisting AFSL applications and variations for Australian and international companies;
- Working on financial advice review projects for large adviser dealer groups;
- Assisting with registering managed investment schemes, including making changes to and preparing compliance plans and scheme constitutions, liaising with ASIC, providing advice in relation to PDSs, and negotiating agreements with major service providers;
- Drafting Authorised Representative and Corporate Authorised Representative agreements;
- Training in relation to responsible manager obligations, managed investment schemes, and risk management;
- Publishing various articles in relation to areas such as credit, margin lending, risk management, and FSR compliance in general. He is currently the editor of the firm’s tailored regulatory update newsletter, T-RUN.
Sonnie is passionate about financial services, and has a particular interest in financial advice, managed investment schemes, as well as risk management. He particularly enjoys working with clients that have a long-term strategic vision, and providing guidance and assistance in the context of their objectives.
Sonnie plays tennis, is keen on snowboarding, and recently caught the biking bug. He reads broadly, is keen on technology, and enjoys socialising with his wife and friends.
Email Sonnie
Click here to follow Sonnie on Twitter
