Financial markets law
I am in a unique position to provide you compliance and defence advice, as I have insight into the operations of the regulator as a former founding senior solicitor appointed in 2011 to the FMA litigation team.
I will provide you with comprehensive legal advice because I understand the 4 fundamentals - statutory powers, statutory and equitable obligations, frameworks and procedures - under which our financial markets conduct regulator must operate.
An example of the regulatory work I have undertaken to date are:
civil proceedings against directors of issuers on behalf of the FMA
disciplinary proceedings for breaches under the Authorised Financial Advisers Code of Professional Conduct in the Disciplinary Committee
assisting the Crown in prosecution of several high profile finance company collapses including interviewing, investigating, collating evidence, providing legal advice
providing guidance on the processes to issue Administration Orders by the FMA (e.g. Stop and Direction Orders) and Infringement Notices under the Financial Markets Conduct Act 2013
successfully defending FMA in appeals against the decision to direct the Companies Office, as the registrar of the Financial Services Provider Register, to de-register certain financial service providers
investigations and actions taken as a result of whistleblowers information provided under the Protected Disclosures Act 2000.
Since being in private practice I have specialised in defending against FMA regulatory action. With first hand knowledge of how regulatory legal proceedings progress, I am in a prime position to advise you if you become the subject of supervision or investigation action undertaken by the regulator.