Regulatory and investigations

Regulatory and investigations

New Zealand businesses have a wide variety of regulatory compliance burdens. We have extensive experience in advising listed and unlisted companies on managing their regulatory compliance in a pragmatic and cost-effective manner.  We support our clients by finding solutions tailored to each client's business’ regulatory framework to minimise the impact on them successfully running their business.

We are experts in advising in a range of industries including telecommunications, horticulture, motor vehicle, hospitality, marine, aviation and transport, and finance.

We also support businesses to engage with regulators regarding changes to the law.  We can assist our clients in forming a view as to how potential changes could impact their industry, and advocate by lobbying through the regulatory change process.  Often early engagement can help shape legal change in a way which is workable for our clients' business.

We also have extensive expertise in advising on regulatory disputes, including engaging with regulators to settle disputes, or to challenge the regulator’s position.  We can advise on regulatory investigations, including methods of managing the investigation process internally, governance and reporting processes, remediation, and customer engagement.  We have acted in matters involving the FMA, th Takeover Panel, Commerce Commission, NZRegCo, the Privacy Commissioner's Office, and the Ministry of Business, Innovation and Employment.

Our experience includes:

  • Advising on notification requirements under the CCCFA, managing related internal investigations and remediations, and related settlement of allegations raised by the Commerce Commission.
  • Prosecutions under the FTA for misleading conduct, and product compliance.
  • Prosecution for misleading statements in investor disclosure statements.
  • Advising in relation to issues arising with the FMA and settlement of proceedings.
  • Director banning applications by the Ministry of Business, Innovation and Employment.
  • Advising listed companies in relation to the business-to-business sale of goods under the Consumer Guarantees Act and related issues.
  • Responding to investigation or prosecution by the SFO, Maritime Authority, and CAA.
  • Resolution and management of associated insurance issues, to assist in funding defences.
  • Liaison with the Office of the Privacy Commissioner in mandatory privacy data breach situations.