SERVICES

 

  • Establishing all kinds of investment funds and advising on fund structures including FinTech funds, Infrastructure funds, mutual funds, EFTs, real estate funds, Shariah-compliant funds, Sovereign wealth funds, EU regulated funds
  • Advising on redomiciliations, mergers and conversions.
  • Advising on day-to-day legal, operational, administration and compliance.
  • Advising on derivative products and prime brokerage arrangements.
  • Advising investment managers, fund administrators and custodians.
  • Advising on registration of funds outside of the EU and the United States.
  • Advising on cross border financial services within the European Union.
  • Advising on anti-money laundering issues, compliance procedures and corporate governance.
  • Advising on investor compensation issues.
  • Advising on listing services for investment funds.

 

Meet The Team

The funds advisory function is led by Oscar Mendoza who is a vastly experienced financial services professional, having worked with firms such as Yamaichi Bank, Frontier Securities, Merrill Lynch & Morgan Stanley. Mr. Mendoza is supported by Jamie Stevenson and Thomas O'Rourke both of whom have significant cross-border experience in the investment banking and/or compliance sector.

Jamie Stevenson

Regional Director, Asia

Thomas O’Rourke

Chief Compliance Officer

Oscar Mendoza

General Manager

 

EXPERIENCE

  • Assisted with the development of a Proprietary Investment Fund focused on Mongolian Equity Markets, which included, inter alia, providing Canadian junior mining firms with consulting services regarding compliance with Financial Regulatory Commission of Mongolia (FRC), launching  new investment banking products and initiatives including private equity placements, pre-IPO allocation and valuation, company credit risk profiles, and various advisory services, and working closely with private equity funds, mining funds, financial services, food & beverage companies, and supply chain firms as well as construction assets.
  • Acted as adviser to and promoter of the TAKADA Absolute Return Fixed Income Fund, sub-fund of the Comino Umbrella Fund SICAV, focusing primarily on portfolio management and risk diversification, but also advising on passporting, private placement, global marketing, preparing and/or advising on required documentation and information for regulatory submissions, and  advising on and assisting with the preparation of regulatory filing for the marketing of the TAKADA Fund in the United States.
  • Advising on the establishment of Holland Park Capital, manager of the Holland Park Emerging Markets Fund, a long/short emerging markets Cayman Islands equity fund, including the setting up of the various legal entities (including the fund itself, the investment advisor/manager), sourcing and establishing relationships with the custodians, Prime Brokers, legal advisors etc, attending to day-to-day operational aspects of the company, including legal, compliance, internal and external audits, administration of the funds, NAV calculation/verification etc., as well as external relationships with bankers, brokers and external advisors.