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David is a partner in our financial markets team, one of the largest specialist teams in the country. He chairs the Code Committee appointed by the FMA under the Financial Advisers Act, and is a former chair of Workplace Savings NZ.

David is an expert in financial services law. He helps the providers of financial products and services to understand and manage their obligations in an increasingly complex regulatory environment. He also helps them identify and benefit from the opportunities the regulations present.

David advises both large and boutique providers of investment funds, as well as trustees of workplace schemes. He also advises companies that provide financial advisory services and discretionary investment management services (DIMS), and assists reporting entities with their AML and CRS obligations.

David can help ensure that your organisation meets its obligations under the Financial Markets Conduct Act – whether you’re developing new products, marketing and administering existing products, or dealing with governance and licensing issues.

He can also help you prepare for regulatory changes, such as the reforms to the regulation of financial advice which are due to come into effect in 2019.

Admission date: 1989

EXPERIENCE

David has advised: 

  • SBS Bank subsidiary FANZ on establishing and operating its master unit trust, DIMS, and KiwiSaver offerings.
  • Ngai Tahu on establishing its iconic savings vehicle, Whai Rawa, and transitioning the fund into the Financial Markets Conduct Act regime. 
  • The Securities Industry Association on securing a critical class exemption for the operation of client funds accounts by NZX participants.
  • Financial advisory businesses on their obligations under the Financial Advisers Act regime, and actively contributing to the development of the law in this area. 
  • A range of providers on the operation of DIMS under the Financial Markets Conduct Act regime. 
  • Civic Financial Services on the first transition of a restricted workplace savings scheme and a restricted KiwiSaver scheme to the Financial Markets Conduct Act regime.

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