Senior Adviser, Listings
ASX
Dates Employed - May 2010 – Apr 2018
Directly facilitated the ASX admission of 35 entities by way of IPO/RTO and was personally responsible for advising over 300 publicly listed companies. Worked with company directors and their advisers. Assisted with transactions in the mineral resources, biotechnology and start-up industries.
Was involved in the day-to-day activities of listed entities as well as specific matters requiring ASX engagement. Role relied on being familiar with companies, the nature of their activities, capital structures, share registers and any significant transactions they were undertaking. Analysed circumstances of entities from a financial, contractual and regulatory perspective. Involved in IPOs/RTOs, debt/equity financing, consolidations, share sales, takeovers, acquisitions, disposals, and joint ventures.
Solid understanding of the following:
• disclosure documents
• notices of meeting
• share registers
• technical reports
• contractual terms and conditions of commercial agreements
• periodic financial reports and financial accounts
Worked closely with various ASX departments including Surveillance, Securities Administration, Quotations, Clearing & Settlement, and Trading Operations.
Focused on the following frameworks:
• ASX Listing rules
• Corporations Act
• JORC Code
• SPE-PRMS
• AASB/IFRS
Also included specialist expertise in Australian and international financial markets, financial services industry, financial analysis, market research, report analysis, corporate governance, negotiation, managing risk, time management, decision making, teamwork, relationship management, media reports, customer service, complaints handling, presentations, public speaking, training, mentoring, supervising, implementation of information technology in the finance industry, and trading technology solutions.
