Financial Markets and FMA Investigations
Early, carefully planned advice can assist clients to understand their obligations, preserve relevant evidence, respond appropriately to regulators and manage legal, commercial and reputational risk.
Merran Keil previously served as a founding senior solicitor in the Financial Markets Authority litigation team. That experience gives her direct insight into how the FMA investigates and pursues enforcement action — which she now applies in advising and representing clients facing regulatory scrutiny.
Matters Merran Can Assist With
- Financial Markets Authority investigations
- Requests for information and documents
- Regulatory engagement and response strategy
- Financial Markets Conduct Act issues
- Financial-services regulation
- Regulatory interviews and representations
- Enforcement proceedings
- Administrative orders, appeals and judicial review, where applicable
- Financial-services compliance issues
- Associated AML/CFT risks, where applicable
Approach
Receiving an FMA information request or becoming aware of an investigation can be unsettling. The way a client responds from the outset — including what is said, what is produced and how communications are managed — can have significant consequences. Merran assists clients to understand their obligations, assess their position and respond in a measured, well-considered way.
Facing an FMA investigation or information request?
Arrange a Confidential Consultation