16th Annual Financial Markets Law Conference


22 Oct 2020Aotea Centre, Auckland
Event Details
separately bookable workshops
Financial advice – Decoding the code, competence, disclosure and exploring good customer outcomes:
23 October 2020 | 9:00 am - 12:30 pm

The new financial advice regime in the Financial Services Legislation Amendment Act (FSLAA) comes into force on 15 March 2021. This workshop is a great opportunity before the new rules come into effect within the Financial Markets Conduct Act 2013 (FMCA) to ensure you are prepared, or to understand why this is a big deal. The workshop will also consider the impact of the Financial Markets (Conduct of Institutions) Amendment Bill (CoFI) on financial institutions (banks, insurers and non-bank deposit takers) and their intermediaries.

  • Summary of FSLAA and how it fits into the FMCA
  • Key duties for financial advice providers (FAPs)
  • Breaking down the Code of Professional Conduct for Financial Advice Services – understanding the standards for ethical behaviour, conduct, client care, competence, knowledge and skill
  • Working with the new and more flexible disclosure regulations
  • Good conduct in financial advice, vs “no advice” models
  • Discussing changes to incentives and commissions
  • CoFI and the new licensing regime for financial institutions

Jeremy Muir


MinterEllison RuddWatts

Jeremy is the national head of the banking and financial services team for MinterEllisonRuddWatts. He is a specialist financial services and investment lawyer, working with retail and wholesale fund managers, trustee companies, banks, derivatives issuers, and FinTechs. He is deeply engaged with clients across the sector in implementing the financial advice changes, with a particular focus on good customer outcomes.

ESG and climate-related financial risk – Valuable tools for the new decade:
23 October 2020 | 1.30 pm – 5.00 pm

Today there’s a big and growing emphasis on the importance of environmental, social and governance issues for business. Management of ESG risk is becoming an increasing concern for business.  One prominent example is the Government’s proposals to introduce mandatory climate change-related financial disclosures (TCFD) for listed issuers, asset owners, asset managers, and potentially also large private emitters.  The proposals will require disclosure of climate change governance, strategy, risk management and metrics used by businesses.  This workshop will elaborate on.

  • Breaking down Environmental, Social and Governance – mandatory and voluntary aspects
  • How ESG-focused investment affects your investment performance 
  • How ESG disclosure benefits your organisation 
  • The international TCFD recommendations and New Zealand’s mandatory TCFD reporting proposals 
  • Identifying climate-related financial risk
  • Conducting climate-related scenario analysis to establish a resilient climate change strategy 
  • Engagement of key regulators

Pip Best

Climate Change and Sustainability Services, NZ Leader

Ernst & Young NZ

Pip is the Leader of EY’s New Zealand Climate Change and Sustainability Services team based in Auckland.  She has provided strategic advice and assurance on climate change, sustainability and economic matters to Governments and many of New Zealand and Australia’s largest companies.  She has been a catalyst to the development of the green market, developing globally recognised green bond standards. She is also currently the secretariat for NZ’s Sustainable Finance Forum.

Penny Sheerin

Head of Financial Services

Chapman Tripp

An expert in financial services and funds management laws, Penny advises extensively on the full range of legislation affecting financial service providers, such as fund managers, insurers, financial advisers, brokers, discretionary investment management scheme providers, derivatives issuers, non-bank deposit takers and payments system providers. She counsels clients on the establishment, restructuring, distribution and compliance of financial products, including KiwiSaver. Penny is the only lawyer on the Aotearoa Circle’s Sustainable Finance Forum Leadership Group which is tasked with designing a roadmap to help New Zealand shift to a financial system that supports economic, social and environmental outcomes. Penny is recognised as a leading lawyer in Chambers Asia Pacific 2019.

Nicola Swan

Senior Associate, Dispute Resolution and Climate Risk

Chapman Tripp

Nicola is a senior member of the dispute resolution practice, with particular expertise in climate risk. She is frequently approached to advise businesses, particularly boards of directors, on the litigation and financial risks arising from climate change. Nicola co-authored the 2019 New Zealand legal opinion on fiduciary duties and obligations on boards of directors and fund managers to consider climate risk to businesses and investments. Nicola practised for 7 years in London, and earlier at the Ministry of Foreign Affairs, representing the New Zealand Government before the United Nations at various international negotiations including the UNFCCC climate change negotiations. She is a current member of the IBA’s Arbitration Sub-Committee on Environmental, Social and Governance issues and had extensive involvement with the IBA’s Climate Change Task Force. She is also an immediate past member of the ICC’s Task Force on Climate Change Related Arbitration. Nicola is recognized as a Future Leader in Arbitration in the global Who’s Who Legal rankings for 2020.

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