Financial Markets.

Advice
that pays
dividends

Meredith Connell’s financial markets specialists have an unparalleled depth of experience in regulatory litigation.  They have acted in many of the leading financial markets and securities cases before the New Zealand courts in the last decade, including almost all of the finance company cases, the interest rate swaps investigations and litigation, and market manipulation and insider trading cases.

That depth of experience, combined with our domestic and international expertise in regulatory matters, means we are uniquely positioned to advise on contentious and non-contentious financial markets, financial reporting, or financial adviser issues.  The team confidently handles complex matters quickly, effectively, and economically. 

We have advised financial service providers both in New Zealand and overseas on legal developments and issues affecting them, such as advising corporates in transitioning to the requirements of the new Financial Markets Conduct Act, financial reporting, anti-money laundering and the licensing and registration requirements under that Act as well as under the Financial Advisors Act and the Financial Service Providers Act.  We advise on ASIC and FMA investigations.

For further information on our capabilities, please contact Nick Williams.

The teams expertise includes:

  • licensing (derivatives, DIMS, crowd funding);
  • disclosure;
  • fair dealing and misrepresentation;
  • secondary market and trading issues: continuous disclosure, insider trading, market manipulation;
  • financial reporting;
  • anti-money laundering;
  • securities law compliance; and
  • regulatory authorisations and ongoing compliance for fund and investment managers.