New tools for regulating financial markets

09 December 2011

The Financial Markets Authority established in May 2011 to regulate New Zealand’s financial markets will come under the microscope in Auckland in February.

A full-day conference on “Corporate, financial markets and financial services regulation” will bring together lawyers and business leaders closely involved in applying the FMA regime and making it work.

It will focus on the FMA’s powers under the Financial Markets Authority Act 2011, the objectives of the new regime and the policy of the FMA. It will discuss requirements and best practice for front‐end compliance.

The conference will deal with approaches to enforcement and hear the views of lawyers dealing with enforcement issues. Presenters will also comment on the Financial Markets Conduct Bill, in particular the FMA's role.

Directors and senior executives will comment on how the new and proposed regimes will affect securities issuers, their directors, their senior management teams and their professional advisers. Legal commentators, FMA lawyers and advisers, and in‐house counsel will discuss how advisers can best assist their clients.

Held at the Stamford Plaza Hotel and organised by the Legal Research Foundation, the conference will run from 8.30am to 5pm on 23 February.

For more information and to register please email

The Legal Research Foundation is closely associated with the Law Faculty at The University of Auckland.