My practice, in the main, focuses on assisting companies with the process and documentation required to raise equity finance and to manage the due diligence process required to raise such capital in the Australian regulatory environment.

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.

I offer consultancy services to, or on behalf of, any one of the following entities:

	"Start-up", "Emerging" "Growth" and/or "SME" companies wishing to raise equity finance,
	Private companies wishing to raise capital and/or list on the ASX)
	ASX public listed companies, and/or
	Investors (eg: Venture Capital firms) requiring an independent assessment of investee companies.

I have particular expertise in managing a 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.

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

I  have good relationships with a number of brokers and underwriters, as well as a number of private equity contacts that have available funds looking for the right investment.

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

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

• Writing up the Business Plan, in a form that investors look for and will be comfortable with,

• Preparing detailed financial forecasts, using Sage "Winforecast" proprietary financial modeling software,

• Writing an Information Memorandum or Prospectus, and

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

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 25 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.

ASX Listed Companies:

For a company that is already listed on the ASX, but looking to strengthen it's Board, I am available to act as a Non-executive Director, to advise and assist with:

• Audit Committee,

• Board reporting,

• Accounting & financial systems review,

• 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.

I am also available to act as a contract Company Secretary.

Investee Companies:

In the case of investors (such as a Venture Capital firm) with a problem investee company, I can provide an independent evaluation of the business model, including an assessment of the company's prospects for commercialisation, to assist with critical investment decisions such as, whether to:

• invest further funds in the company,

• pursue a merger or acquisition to enhance the investment, or

• divest or otherwise dispose of the investment.

Often, an investor may be too close to the business in which they have invested, to truly stand back and “look at the forest, not the trees” and may run the risk of “throwing good money after bad”.  An independent assessment of the prospects of the investee company can help prevent this situation and may even bring other possibilities to light to enhance the investment. The above tasks can be undertaken either under a consultancy arrangement, or as part of a longer term relationship with the investee company as a Non-executive Director. 

In most cases, the investor will already have a representative on the board of an investee company, but ensuring the above issues are properly handled is a matter for the board of the investee company as a whole and not just the investor representative.  By having someone with specialist expertise  fulfill these tasks, the "investor director" can attend to the other (venture capital) duties he is employed to do by the investor. The obvious advantage to the investor of using my services is that the cost of such activities would then be borne by the investee company and not the investor. 

Free Initial Consultation

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