Financial services regulation

Practical and expert advice across the full range of financial services regulation

We are recognised as New Zealand’s leading team for clients’ financial services transactions, regulatory compliance issues and projects.

Our lawyers are known for their pragmatic and robust solutions, technical knowledge, and commercial and strategic thinking. We use our in-depth knowledge of financial services and products, built up over many years of working across all areas of the industry, to add value for our clients.

Our team has played a leading role in shaping New Zealand’s new legislative and regulatory frameworks. We continue to be at the forefront of market developments. Market leaders including AMP, ANZ, BNZ, Westpac, Fisher Funds and Nikko Asset Management come to us for assistance with their Financial Markets Conduct Act transitions.

We have excellent relationships with the Financial Markets Authority (FMA), Ministry of Business, Innovation & Employment, Reserve Bank and NZX, and influence the law by engaging with officials, making submissions and obtaining class and individual exemptions.

Experience highlights

We have advised:

  • a number of New Zealand’s largest banks, wealth managers, discretionary investment managers and derivatives issuers (including AMP, ANZ, BNZ, Westpac, Fisher Funds and Nikko Asset Management) on their FMCA transition, licensing, compliance, documentation and governance in response to what has been described as a ‘once in a generation’ rewrite of New Zealand’s securities law
  • financial services providers (including AMP, ANZ, HSBC and Westpac) on the full range of legislation governing their operations, including the Financial Advisers Act (FAA), Financial Service Providers (Registration and Dispute Resolution) Act (FSPA), anti-money laundering (AML) laws, insurer prudential supervision laws and non-bank deposit taker laws
  • foreign offerors of financial products and services (including Lloyds Banking Group, HSBC group, Bank of America and Merrill Lynch) on their compliance with New Zealand law, in particular their compliance with New Zealand’s securities, licensing and registration laws and the trans-Tasman mutual recognition regime
  • on dealing with regulators (including the Financial Markets Authority, the Reserve Bank, NZX, the NZ Markets Disciplinary Tribunal, Takeovers Panel and Companies Office) on general interactions, policy submissions and threatened enforcement actions, including assisting with response strategy, legal analysis, compliance advice, exemptions, waivers, compromises and, if needed, litigation defence
  • on acquisitions and restructurings of financial services businesses (including acquisitions of Tower Life by Foundation Life, 50% of OnePath by ANZ, five separate KiwiSaver Schemes by Fisher Funds and the National Bank funds and insurance business by ANZ), covering also the regulatory requirements associated with such transactions



Only firm in New Zealand ranked band one by Chambers Asia Pacific 2016 in the three relevant categories: investment funds, insurance and banking and finance

They are at the top of the market for strategy - Chambers Asia Pacific 2016.

Corporate & commercial; Corporate governance; Equity capital markets; Finance; Funds, KiwiSaver & superannuation; Insurance; Litigation & dispute resolution; Public law; Regulatory law

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