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Financial Regulation

Our Financial Regulation Related Services

Andrew acts for a number of financial service providers including the following litigation services:

  • Assisting Financial Service providers in their dealings with the Financial Markets Authority and Department of Internal Affair
  • Responding to notices of intention to deregister and FMA notices of opposition to registration of FSPs
  • Appealing decisions to deregister FSPs issued by  the Financial markets Authority as well as decisions to oppose registration
  • Advice on regulatory and legal compliance from a litigation perspective

Examples of Recent Work

FMA v Vivier [2016] NZCA 197

Vivier v FMA [2015] NZHC 2337

High Court Wellington / Court of Appeal: Successful appeal to the Wellington High Court pursuant to s42 of the Financial Service Providers (Registration and Dispute Resolution) Act 2008 against a Financial markets Authority decision to deregister a financial service provider.

 

The FMA subsequently successfully appealed the decision in the Court of Appeal.

FMA in Court of Appeal with financial services company headed by …

High Court rules in favour of Vivier appeal of FMA deregistration from …


Get further advice from

Andrew Riches

Andrew Riches

Partner

T +64 3 963 1457
M 021 982 115
E andrew.riches@saunders.co.nz