The 13th Annual Financial Markets Law Conference - 2017

IMPLEMENTING THE LATEST UPDATES IN NZ’S FINANCIAL MARKETS

27 Jun 2017Crowne Plaza, Auckland
separately bookable workshops
LEGAL MASTERCLASS: DISPUTE RESOLUTION MECHANISMS WITHIN NZ’S FINANCIAL MARKETS
28 June 2017 | 9.00am - 12.30pm

This workshop focuses on recourse that product providers can defend / claim by removing focus from alternate investor dispute resolution mechanisms:

  • Claims by investors
  • FMA’s to pursue claims in public interest & their potential enforcement outcomes
  • Investor class actions and litigation funders
  • Financial Service Provider Dispute Resolution schemes;
  • Injunctions and urgent relief
  • Disputes between market participants
  • Claims by regulators against market participants - criminal and civil enforcement

 

 

Nick Williams

Partner

Meredith Connell

Nick advises both private and public-sector clients in commercial and regulatory matters and in disputes involving professional negligence, misrepresentation and fraud. He also advises on corporate governance issues including health and safety compliance. Nick has particular expertise in financial markets law and teaches Corporate Finance at the University of Auckland Law School. He holds the Chartered Financial Analyst designation and serves on the Board of Directors of the CFA Society of New Zealand. He is a member of the Serious Fraud Office Panel of Prosecutors. Recent notable cases include the Mighty River Power procurement fraud trial, alleged employee theft at Ports of Auckland and the Mark Warminger market manipulation trial.

James Cairney

Associate

Meredith Connell

James is a commercial litigator with experience in financial markets law, complex fraud, professional negligence and workplace health and safety. James has acted on high profile cases resulting from the collapse of the finance company sector, in litigation resulting from high‐profile corporate failures, for insurers on statutory liability claims, and in matters arising from serious workplace accidents. In addition to commercial litigation, on behalf of the Crown, James prosecutes jury trials involving serious criminal offending. James is also a Teaching Fellow at the University of Auckland Law School, and lectures Financial Markets Law to final year law students. James has won a number of academic prizes, including a Senior Scholarship from the University of Auckland’s Law faculty, the Brookfields Lawyers Scholarship, the Brookers Prize in Torts and Contract Law, the NZ Law Review Prize, and the Allan W Mewett Memorial Prize in Evidence.

PREPARING FOR AML/CFT’S PHASE II: A WORKSHOP FOR NEWLY CAPTURED ENTITIES UNDER AML/CFT
28 June 2017 | 1.30pm - 5.00pm

Following on from the conference session, Rebecca will take you through the latest in AML’s new legislation and focuses on the practicalities of implementing Phase II:

  • Does Phase II apply to you and what are your compliance timelines?
  • Appointment and role of the AML Compliance Officer
  • Considerations when developing your AML Risk Assessment and Compliance Programme
  • How to effectively conduct Customer Due Diligence (CDD)
  • Determining when to conduct enhanced CDD
  • Issues and Challenges to watch out for when conducting CDD

Rebecca Caird BA LLB (Hons)

Senior Consultant

AML Solutions

Rebecca began consulting with AML Solutions in 2014 and works closely with entities developing their compliance programmes, documentation and procedures. She works across all sectors including fund managers, securities issuers, bank, and non-bank lenders. Rebecca has a legal background and is a member of the Association of Certified Anti-Money Laundering Specialists. Before joining AML Solutions, Rebecca was a senior associate lawyer in the corporate/commercial department at Bell Gully. Having worked at Bell Gully for nearly ten years, she accumulated a wide range of financial services regulatory experience. During this time she acted for a number of securities issuers, fund managers and trustee companies in the review and preparation of compliance documents as well as advising on regulatory exemptions.

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