Atty. Chris Mee

Chris is the principal at CNM Legal. He has practised in corporate law for more than 20 years, and is a specialist in funds management, financial services and capital markets.

He holds degrees in law and arts and a Graduate Diploma in Applied Finance and Investment from the Securities Institute of Australia (now Finsia). He is a graduate of the Australian Institute of Company Directors and a Fellow of Finsia. He is chair of the Independent Compliance Committee Member Forum (Brisbane). He is recognised in The Best Lawyers™ in Australia - Investment Funds 2020/21.

His legal expertise in funds management, financial services and capital raising is provided to clients over a range of industries, including those involved in equity and debt raising through corporate and trust structures. His clients include responsible entities, wholesale trustees, investment managers, financial planning groups, banks, custodians, venture capitalists and securities dealers.

His areas of expertise include the formation of private and public investment vehicles (including registered and unregistered managed investment schemes); Australian financial services licensing applications and variations; structuring and promotion of investment products (including share and debenture offers); the preparation of regulated and unregulated offer documents such as information memoranda, product disclosure statements and prospectuses; and ongoing compliance requirements for companies and managed investment schemes.

Areas of expertise:

Funds Management
Chris regularly undertakes the following work for his funds management clients:

• Establishment of funds management businesses including company incorporation, preparation of shareholder agreements, director appointments and capital raising for the entity through private and public offers.
• Applications for, and variations of, Australian financial services (AFS) licences, including assisting with the identification and engagement of experienced, responsible managers.
• Formation, structuring and registration of funds with ASIC including preparation of constitutions and compliance plans, reviewing custody deeds and establishing compliance committees.
• Product structuring.
• Preparation or review of regulated and unregulated disclosure documents, such as product disclosure statements and information memoranda.
• Advising on ongoing compliance arrangements, including breach reporting, continuous disclosure, unit pricing issues and regulator engagement.
• Advising on governance issues, including conflict issues, directors' duties and trustee duties.
• Assisting with regulatory investigations by ASIC.
• Reviewing loan documentation for fund loans.
• Defending or launching takeover bids for funds.
• Assisting with restructuring issues, such as trust mergers and changes in responsible entity.
• Advising on insolvency and deregistration issues.

Areas of Expertise – Financial Services
Chris regularly undertakes the following work for his financial service provider clients:

• Applications for, and variations of, Australian financial services (AFS) licences, including assisting with the identification and engagement of experienced, responsible managers.
• Preparing or reviewing statements of advice (SOAs), financial services guides (FSGs), conflicts policies and compliance systems.
• Preparation of disclosure documents for financial products including insurance products, derivatives (CFDs) and mutual risk products.
• Establishment of investor-directed portfolio services (IDPS), IDPS-like schemes and managed discretionary account (MDA) services.
• Establishment of mutual discretionary funds for the issues of risk products.
• Mock ASIC surveillance visits.

Trustee duties and corporate governance

Chris regularly advises clients on issues relating to their duties as trustees and directors, including conflicts of interest, compliance with AFS licence conditions, investor meetings and corporate governance.