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Capital Raising and Investment

Advising on IPO, ASX Listing and Exempt Offer capital raising transactions.

How we can help

  • Initial public offers
  • Exempt offers
  • Fund establishment
  • Debt finance advice

Legally precise.
Commercially focused.

SWS Lawyers routinely provides ‘exempt offer advice’ to companies wanting to raise capital. Our lawyers specialise in capital raising for the SME market. As a consequence, capital raising typically involves advising clients on the relevant provisions of the Corporations Act and can be coupled with debt or convertible security arrangements. Our lawyers are experienced in structuring transactions, working with accountants and bankers and providing timely and practical advice to clients wanting to raise money.

Our senior lawyers have all worked for ‘top tier’ law firms. Key team members have been involved in high profile initial public offer and ASX listing transactions, including acting as secretary and chairman of due diligence committees and providing primary legal advice to float teams. This depth of experience underpins the approach SWS Lawyers takes to capital raising transactions. We provide timely and accurate advice on all aspects of a proposed capital raising transaction.

Our experience includes:

  • IP / Bio-tech – Advising on the commercialisation of key IP rights, structuring a ‘start-up’ enterprise (with proposed manufacturing, sales and distribution facilities in the US and Europe) and acting as Australian lawyers for capital raising in the US and Australia by way of an ‘exempt offer’ to sophisticated, institutional and professional investors.
  • Technology – Advising on seed capital through to series A and B funding for various companies involved in technology and app development.
  • Private Equity – Advising several companies on capital raising, by way of competitive bid process, resulting in private equity investment. Our firm continues to act for several investee companies following the injection of private equity funding.
  • Mining – Advising (including as secretary to DDC) on prospectus and initial public offer compliance (including on ASX) of a mining exploration company, a steel company and a telecommunications company (includes work undertaken as lawyer / partner of another law firm).

Their approach is always professional and delivered at a standard comparable to a capital city law firm. It is the clear strategic direction that has always impressed me about the SWS team.

-Director, Top 10 Australian Accounting Firm

We believe their ability to combine first rate legal expertise, commercial judgement and strong negotiating skills is rare amongst lawyers and provides us with a real competitive advantage in corporate transactions. We use SWS because of their ability, not their post code.

-Robert Radcliffe-Smith, Advent

The combination of rare legal expertise, commercial judgement and strong negotiating skills is rare amongst lawyers and provides us with a real competitive advantage in corporate transactions.

-Paul Valaire, Addcar

SWS has assisted with advice on securing and exercising complex property and commercial contractual rights and assisting with protracted contractual management and implementation. We value legal experts who can offer pragmatic and commercial legal solutions for our complicated matters. SWS Lawyers has consistently met these criteria.

-Leading AU/NZ Logistics Company

The team at SWS Lawyers have already showcased their professionalism, commitment, positive can-do attitude and insight into our needs and have a clear understanding of the disability sector.

-Garry West-Bail, Deaf Sports Australia
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