AML/CFT and Financial Services Compliance Advice
AML/CFT compliance obligations are significant for financial service providers in New Zealand. Early legal advice can assist clients to understand their obligations, assess their risk and respond appropriately to regulatory inquiries.
Merran's experience in financial-markets regulation, including prior work in the FMA litigation team, gives her a practical understanding of the regulatory environment in which financial service providers operate. She advises on AML/CFT legal issues and financial-services compliance matters where legal analysis and regulatory judgment are required.
Matters Merran Can Assist With
- AML/CFT legal and regulatory issues
- Financial-service-provider obligations
- Compliance risk assessment
- Regulatory inquiries and enforcement risk
- Policy and process review
- Legal advice concerning reporting and record-keeping requirements
- Financial-markets compliance and governance issues
Approach
AML/CFT enforcement risk is real and can escalate quickly. Merran assists financial service providers to understand their legal position, assess compliance gaps and respond to regulatory inquiries in a measured and well-considered way.
Need advice on AML/CFT obligations or financial-services compliance?
Arrange a Confidential Consultation