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Kelvin Lau

Special Counsel
Sydney
About
Kelvin is an Australian investment management, funds and financial services regulatory lawyer based in Sydney.  He has extensive experience in respect of advising clients in respect of the establishment, fundraising and listing of listed investment companies (LICs), listed investment trusts (LITs) and exchange traded-funds (ETFs).

Kelvin is knowledgeable on all legal issues impacting funds and asset management entities and their service providers, including fund, service and investment management operator structuring, product development, distribution, initial and ongoing regulatory compliance.

Kelvin regularly advises large Australian and international funds management entities and their services providers, as well as other financial services providers who seek to provide financial services in Australia.
Areas of FocusCorporateFinancial ServicesInvestment Management and Funds
Professional QualificationsSolicitor of the Supreme Court of New South Wales
Education
  • University of New South Wales, Bachelor of Laws, 2015
  • University of New South Wales, Bachelor of Commerce (major in Actuarial Studies), 2015

EXPERIENCE

  • Advising the ASX listed Pengana Capital Group on the secondary capital raising of its ASX-listed investment trust, Pengana Global Credit Trust.
  • Advising listed investment company investment manager, Whitefield Capital Management on the secondary capital raising of its ASX-listed investment company, Whitefield Income Limited. 
  • Advising Ausbil Investment Management on their application to the ASX for the quotation to their ETFs.
  • Advising AQR in respect of ongoing regulatory compliance issues in respect of its Australian financial services licence and its Australian registered managed investment schemes.
  • Reviewing and drafting Australian disclosure documents including Product Disclosure Statements for various managed fund products.
  • Advising various global and Australian fund managers in respect of regulatory compliance issues including financial services licensing, anti-money laundering and derivative transaction reporting issues.

Prior Experience

Kelvin's experience has been enhanced by his prior in-house experience as Legal Counsel for a global asset management group.  He played an instrumental role in the establishment of their first exchange-traded fund (ETF).

Memberships and Affiliations

  • Law Society of New South Wales

My latest insights

News
Urban_Geometry_N_2363

DLA Piper advises on the launch of listed investment company Solaris Australian Equity...

17 April 2026

Connect

Phone

+61 2 9286 8098
(Work)
+61 404 280 658
(Mobile)
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