Capability Statement

I offer contract consultancy services to:

• ASX Listed Companies,
• Public & private (unlisted) companies wishing to list on ASX or other financial markets, 
• "Start-up", "Emerging" "Growth" and/or "SME" companies, and
• Local subsidiaries of overseas companies.

ASX Listed Companies:

Non-executive Director, to advise and assist with:

• Audit Committee,

• Board reporting,

• Management of fund raising process,

• Corporate governance issues,

• Company Secretarial matters, and

• ASIC & ASX reporting & compliance matters.

  
  

I am skilled in managing the process and the due diligence for financial transactions, such as rights issues, placements, mergers, takeovers and acquisitions.

Contract Company Secretary

Using a contract Company Secretary is considerably less expensive that a full time position, at the same time as providing a higher level of expertise. Location is not a problem as I am experienced in ASX, ASIC and other online lodgement processes, as well as the efficient use of electronic communications.

Company secretarial services may include: 

• Set Board Agenda with CEO and/or Chairman,

• Take Minutes at BOD Meetings,

• List all action items for follow up,

• Corporate governance issues,
• ASIC Registered Agent for all corporate filings, and
• ASX reporting & compliance matters via online portal.

I have also had considerable experience in setting up systems and procedures for accurate and timely Board reporting to ensure both good communication and corporate governance.

 Private Companies intending to list on the ASX:

I can assist companies to list on the ASX by managing the IPO and due diligence process, through which I am able to:

• manage the Director’s responsibility and therefore

• minimise their liability and invariably,

• save the company time and money in the process.

I have been involved in a number of ASX listings over the past 30 years, including IPOs, "compliance" and "backdoor" listings. In addition to my formal qualifications, I have extensive practical experience in the application of the Corporations Law and the ASX Listing Rules. I can also assist the Board and Management with the difficult transition from private to public listed company.

I have particular expertise in managing the due diligence process for a financial transaction, including:

• the IPO of a company on the ASX,

• a "backdoor listing", whereby a listing is achieved by backing a business into an existing "listed shell",

• a rights issue, share placement or other security issue by an existing listed company, and/or

• a merger, takeover or acquisition.

It is a well known fact that the capital raising process can be very distracting for both Board and management, so it makes sense to effectively "outsource" the management of the capital raising process to someone with the necessary time, skills and experience and allow management to concentrate on managing the core business of the company.

My experience in efficiently managing such processes will often result in considerable savings on the expense of lawyers, accountants, experts, etc, and help achieve the desired outcome in a shorter period of time.

Please see the article entitled The IPO Due Diligence Process in the May 2002 magazine of the Australian Institute of Company Directors.

"Start-up", "Emerging" "Growth" & "SME" Companies:

I can provide assistance to owners and/or investors in start-up and emerging companies to manage the process to raise either private equity capital or public capital via an IPO, by providing:

• Advice on the Business Plan,   

• Assistance with financial forecasts,  

• Management of preparation of Prospectus, and

• Managing the "due diligence process" for the capital raising or IPO.

Free Initial Consultation

All initial discussions are at no charge and arrangements can be made for fees to be paid in cash and/or equity, subject to discussion. In certain circumstances, I may be interested in investing more than my fees in a particular situation.