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.