- About Us
- Our Services
- Our People
- Contact Us
Senior Associate LLB , Fellow of Securities Institute
David is a respected lawyer who specialises in designing and conducting compliance training programs for the finance industry. He is an Accredited Trainer and Assessor with VETAB and an Accredited Assessor with the College of Law.
David specialises in designing and delivering no nonsense compliance training programs. He is an expert in the area of Financial Services laws, the Trade Practices Act and Contract Law. He enjoys assisting directors and senior management to understand the complexities of their personal duties as well as the impact on the corporation arising under the Corporations Act, the Competition and Consumer Protection Act and Occupational Health and Safety.
Highlights of David’s career as a trainer include preparing and delivering:
- A training program for dealers and client advisers for Westpac Institutional Bank on their obligations under the Corporations Act
- A training program for staff of Westpac Broking on their obligations under the Corporations Act and the ASX Business Rules
- Training sessions for private client dealers and advisers for BNP Paribas
- Training sessions for Duke Energy Australia Trading and Marketing (DEATM) on market misconduct under the Corporations Act
- Training session for Babcock & Brown on Continuous DisclosureTraining program
- Preparation on an expert report to the ACCC realting to a major electronics distributor
David has also conducted training courses for the Securities Institute and the University of Technology, including:
- Business Structures, Contract Law and Trade Practices
- Prospectus compliance
- Securities dealer and advisor duties
- Licensing requirements under the Corporations Act
Facing the challenge“Today, risks don’t fit into easy categories or emerge from pre-determined place. They assault from all sides. It may surprise you to know that at least half of all corporate crises are caused by senior management action rather than external forces. I firmly believe that the most successful, least crisis-prone businesses will be those whose boards have shown firm resolve and taken decisive action. Effective, integrated strategies for dealing with tomorrow’s risks require a change in culture at board level now.”
(Lord Peter Levene, Chairman of insurance giant Lloyds speaking at the World Affairs Council).