18th Annual Financial Markets Law Conference

Comprehensive updates on legislation and regulation in finance markets

25 Jul 2022Aotea Centre, Auckland (Live or Virtual)
Event Details


Registration and coffee
Opening remarks from the Chair
David Ireland, Partner , Dentons Kensington Swan
FMA Address by Chief Executive Samantha Barrass: The FMA – regulating conduct in financial services
  • An outline on the expansion of the FMA’s remit - financial advice, banking and insurance, climate-related reporting
  • The FMA’s expectations on good conduct in financial services
  • Considering customer outcomes
  • Enforcing the law
Samantha Barrass, Chief Executive, Financial Markets Authority
NZX Address: Expanding opportunities for capital market growth in New Zealand
  • Reviewing what the launch of alternative stock markets such as Catalist mean for the NZX and the future of capital markets in Aotearoa
  • Evaluating how overseas and domestic affairs are impacting NZX market volatility
  • Updates on Growing New Zealand’s Capital Markets 2029 
Doug Vrame, Senior Relationship Manager, NZX
Morning Break
Setting out the duties of Financial Advisers under the Financial Services Amendment Act
  • Meeting the requirements for moving to a full licence
  • Overview of the new licensing regime and types of licences
  • Understanding the FMA’s role under the new licensing regime
Romil Ghelani, Manager, Financial Advice Supervision, Financial Markets Authority
Investigating investment fund related fraud
  • Exploring how new methods of defrauding investors are evolving in New Zealand
  • Analysing major recent cases of fraud
  • Innovating to safeguard against and uncover criminal fraud
Case Law Study: Enforcing regulations and implications on the financial sector

An outline and evaluation of recent and current cases appearing before the courts including insider trading, market manipulation and disclosure breaches. 

Nick Williams, Barrister, Britomart Chambers
Lunch Break
Realising financial institutions obligations under the CoFI Amendment Bill
  • Key conduct obligations and expectations of financial institutions
  • Intermediated distribution arrangements under CoFI
  • The FMA’s approach to licensing
Clare Bolingford, Director of Banking and Insurance, Financial Markets Authority
Panel – Perspectives on how different sectors will adjust to the developing FMA mandates
  • Understanding the upcoming responsibilities of insurers, financial advisors and banks
  • Expanding the FMA’s regulatory activities in Insurance Contract Law and Climate-Related Disclosures
  • Introducing conduct licensing for financial institutions 
Clare Bolingford, Director of Banking and Insurance, Financial Markets Authority
Catriona Grover, Partner, Dentons Kensington Swan
Kristina Kilner, Head of Regulatory Affairs, AIA New Zealand
Katrina Shanks, CEO, Financial Advice New Zealand
Adopting sustainability reporting in finance • Breaking down the New Zealand Climate Standard
  • Breaking down the New Zealand Climate Standard exposure draft
  • Enabling climate reporting for organisations with limited capabilities 
April Mackenzie, Chief Executive, External Reporting Board
Jacco Moison, Head of Audit and Financial Reporting, Financial Markets Authority
Afternoon Break
Interview: Promoting investments to wholesale investors and managing the challenges of private investment holdings
  • The disclosure exemptions available for wholesale investors and private placements
  • What has the FMA been saying about the promotion of wholesale investor opportunities?
  • Digitizing access to a wholesale investor database
  • Providing liquidity options for wholesale investments and private companies
Ross Verry, CEO, Syndex
David Ireland, Partner, Dentons Kensington Swan
Fintech: Understanding the future of fintech and finance regulation
  • Key disruptors: Platforms, AI and blockchain
  • New and future technology-enabled products coming to the New Zealand market
  • Decentralised financial services (DeFi): How are governments overseas regulating DeFi and what will likely happen here? 
Jeremy Muir, Partner , MinterEllison RuddWatts
Summary remarks from the Chair & Networking Drinks
  • Conference
  • Early bird price $1799 + GST
  • Early bird ends on 4 Jul
  • Last minute price $1899 + GST
  • 25 Jul 2022
  • Aotea Centre, Auckland (Live or Virtual)