Brendon is a financial services regulation, managed funds and regulatory investigations specialist.
Brendon advises clients on non-contentious and contentious financial services regulation issues. He has advised major banks and managed funds on compliance with the full range of regulatory matters, with particular expertise in financial markets, securities, insurance and tax law.
Brendon has extensive experience in engaging with financial market regulators on compliance issues ranging from exemption applications and negotiations to formal regulatory investigations on compliance and alleged market misconduct.
Brendon joined Chapman Tripp in September 2012 after completing his LLM at the University of Chicago and previously worked for three years at the New Zealand Crown Law Office.
Brendon regularly advises on the Financial Markets Conduct Act; Financial Advisers Act (FMCA); Insurance (Prudential Supervision) Act (IPSA); Anti-Money Laundering and Countering Financing of Terrorism Act; Privacy Act and specialist regimes for KiwiSaver and QROPS.
- advised numerous major retail banks and managed funds on compliance with and transition to the Financial Markets Conduct Act 2013
- developed compliance plans, revised governing and disclosure documents and provided extensive technical advice in relation to FMCA and IPSA compliance
- acted for a number of significant financial market participants on alleged breaches of regulatory obligations, including liability risks and strategic responses to regulatory investigations
- provided advice to Boards and Compliance Managers of retail banks and managed funds on director liability and regulatory risks arising under the FMCA, IPSA, AML/CFT and FAA
- acted on numerous international financial markets compliance matters, including advising multi-national banks and insurers on domestic regulation and the domestic implementation of foreign regulatory regimes (particularly the UK CASS and EU MiFID II regimes)
- been seconded to a major retail bank on its Anti-Money Laundering (AML) and Foreign Account Tax Compliance Act (FATCA) compliance projects
- appeared in the High Court, Court of Appeal and Supreme Court on issues ranging from tax avoidance to Crown liability for systemic weather tight building defects, and
- worked alongside the former New Zealand Solicitor-General, Dr David Collins QC, as his sole Assistant Crown Counsel on nationally significant litigation in the Supreme Court and Court of Appeal.