Profile

Janet specialises in financial services regulation and funds management.  She has worked with a wide range of clients in the banking and financial services sector, from large international and national institutions to start-ups, advising clients on the full range of legislation affecting financial service providers, fund managers, financial advisers, brokers and custodians, and payment system providers.  Janet also has experience advising on regulatory and commercial disputes.  She has appeared in both the District Court and High Court and has acted for the Crown in criminal proceedings.     

Work highlights

Work highlights

Advising on potential regulatory prosecution matters

brought under the Financial Markets Conduct Act 2013, and the Fair Trading Act 1986 involving cartel conduct

Advising clients in the banking and financial services sector

on commercial and corporate governance matters, including contract drafting and negotiations, and directors' duties following the Supreme Court's decision of Yan v Mainzeal Property and Construction Limited (in liquidation) [2023] NZSC 113

Advising on compliance obligations

under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and associated regulations, including the preparation of risk assessments and compliance programmes

Advising fund managers

on FMCA regulated offers, exempt offers and offers made under the trans-tasman mutual recognition regime

Advising on obligations

under the Credit Contracts and Consumer Finance Act 2003, Responsible Lending Code and Credit Contracts Legislation Amendment Act 2019

Advising a global financial institution

on its suite of internal compliance policies (including conflict of interest and insider trading policies), general terms and conditions, website terms of use and disclosure statements

Experience

Experience

Sector/Expertise

Alternate contacts

Alternate contacts