Financial services regulation

Navigating financial services regulation requires a market leading team of regulatory, corporate, litigation and tax specialists.

​​Our experts advise and assist on the full spectrum of financial services regulation ​​including consumer law, anti-money laundering​, carrying on business in New Zealand, financial advice and financial markets conduct.

We assist customers at all stages of their regulatory journey from licensing, compliance and risk management advice through to assistance with communications with regulators and dispute resolution. We have in-depth technical and market knowledge of all aspects of this complex area of the law which has undergone extensive reform over many years. In essence, in step with international practice, New Zealand financial sector regulation has become more complex and the local regulators have become increasingly active.

Work highlights

Banks and non-bank deposit takers
Advise a number of banks and financial institutions on the requirements imposed on registered banks under the Reserve Bank of New Zealand Act 1989 and the Non-bank Deposit Takers Act 2013.

Advised JPMorgan Chase, and the Bank of Baroda on their registration as a bank under the Reserve Bank of New Zealand Act. ​

Credit Contracts and Consumer Finance (CCCFA) and Lending Responsibility Code
Assisted a number of clients on the changes they need to make to their customer documentation and internal risk management procedures to ensure compliance with the recent reforms to the CCCFA, including the introduction of the Responsible Lending Code.