Our multi-disciplinary team has significant regulatory experience in the financial services sector and has assisted a number of national and international companies with their licensing, authorisation and compliance requirements in New Zealand.

Corporate Advisory partner Hayley Buckley is recognised as one of New Zealand's leading legal advisers in equity crowdfunding. She was heavily involved in the consultation and policy phase of the legislation enacted in 2014 to give effect to equity crowdfunding. Hayley advises Snowball Effect, New Zealand's leading, and first licensed equity crowdfunding platform.

Recent Projects

  • Advising a large overseas based global derivatives issuer on compliance and risk relating to its New Zealand regulatory compliance obligations.
  • Ongoing regulatory and compliance advice on all aspects of crowdfunding services in New Zealand including licence, broker and custodial obligations.
  • Advising a large European fund manager on all aspects of its licensing and regulatory requirements in New Zealand, including transition from the Authorised Futures Dealer regime and its application to become a licensed derivatives issuer.
  • Advising a religious organisation in relation to regulatory and compliance matters, including MIS and DIMS licence requirements, and obligations relating to financial reporting requirements
  • Advising an Australasian derivatives issuer in relation to its retail investor disclosure documentation.
  • Assisting a national organisation with its business structuring to ensure market operator licence requirements were not triggered.
  • Advising multiple clients on their AML obligations.
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