Menu

Karen is a senior associate in our financial markets team with over 15 years’ experience.

She advises clients on all aspects of financial products and services, from meeting their obligations under the Financial Markets Conduct Act and other legislation to undertaking capital raisings and acquisitions.

Karen also advises financial service providers on matters to do with the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act. She helps them develop their anti-money laundering polices and compliance programmes, and she provides advice if they have concerns about things such as suspicious activities or transactions. 

In addition, Karen assists offshore financial service providers who are wanting to operate in New Zealand, including advising them of their registration and licensing requirements, and interacting with regulators on their behalf.

Karen works with a wide range of financial market participants, including banks, managed fund providers and trustee companies. She works closely with in-house counsel, senior managers and product managers.

Karen also has direct industry experience from having worked on secondment with several clients, including a bank and a financial services provider.

Admission year: 

2001 (Australia) 

2004 (New Zealand) 

EXPERIENCE

Karen has advised: 

  • NZX Wealth Technologies on its custody arrangements, customised platform agreements, PIE Fund participation agreements and other related documents.
  • MAS on various insurance matters, including the use of roboadvice and online platforms.
  • Numerous companies undertaking mergers, acquisitions and capital raisings.
  • Several providers on their transition of products and services to the Financial Markets Conduct Act regime.
  • Clients wanting to set up investment funds, including managed funds, superannuation schemes and KiwiSaver schemes.
  • SBS Bank subsidiary FANZ on its conduct and compliance obligations as a licensed manager.

Share:

NEWS, UPDATES AND EVENTS RELATING TO KAREN

View all news, updates, and events