Our top ranked funds management team is experienced in establishing and advising clients across a range of asset and industry sectors. We have strong industry understanding, relationships and extensive experience in all classes of managed investment schemes.
We are regarded as opinion makers on new regulatory and market developments affecting the managed funds sectors, such as the new Financial Markets Conduct Act, which has replaced the Securities Act and other legislation, the Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act), and the Financial Markets Authority’s (FMA) proposed guidance on disclosure.
Our team are experts at establishing and advising many types of retail collective investment schemes. We can help with KiwiSaver and other superannuation schemes, unit trusts (including PIE funds), group investment funds, corporate vehicles, limited partnerships, wrap accounts and discretionary investment management schemes, life products and other savings and investment products, such as debt securities. We also help retail funds with all relevant securities laws, including drafting and reviewing prospectuses (including renewals), investment statements, website and promotional material.
We help clients identify and solve cross-border issues, particularly the extension of Australian investment product offers into New Zealand, either under the trans-Tasman mutual recognition of securities offerings regime or exemption notices issued by the FMA.
"The team is a combination of evident experience, expertise and people who clients can work harmoniously with."
Who can help
Chair and Partner - Financial Services
Chair of the MinterEllisonRuddWatts partnership and ranked Band 1 for Investment Funds by Chambers Asia Pacific, Lloyd is a highly regarded opinion-leader on financial services and an expert in corporate governance.
Lloyd is acclaimed by commentators and clients in international research publications.
In recognition for his work on financial markets law reform, Lloyd was made a Fellow of the Institute of Finance Professionals New Zealand Inc. (INFINZ), the first lawyer to receive the accolade. His expertise is proven by being the co-author of Morison’s Company and Securities Law and MinterEllisonRuddWatts’ Corporate Governance White Paper. Lloyd is also a former member of the New Zealand Securities Commission.
Lloyd advises institutions and boutiques on investment funds, equity and debt offerings, and managed investment schemes of all types, specialising in public offers, M&A, and restructuring projects. He advises on securities regulation including Financial Markets Conduct Act, Financial Advisers Act, AML/CFT, and directors’ duties.
Partner - Financial Services
Jeremy is a specialist financial services and investment lawyer. He works with retail and wholesale fund managers (including KiwiSaver and superannuation), trustee companies, derivatives issuers, FinTech (including crowdfunding and peer-to-peer lending platforms), insurers and start-ups. He is also one of New Zealand’s leading lawyers advising on cryptocurrencies, initial coin offerings (ICOs) and digital tokens – working closely with the Financial Markets Authority and other regulators in relation to the treatment of coins, tokens, schemes and exchanges under New Zealand law.
Jeremy advises on all aspects of the Financial Markets Conduct Act 2013 (FMCA), in particular managed investment schemes and all required licences. He also advises on all other financial services legislation (including financial service provider registration, non-bank deposit takers (NBDTs), insurance prudential supervision, financial advice and broking).
Jeremy enjoys working with alternative assets and structures across private equity, venture capital, hedge funds, property investment vehicles, marinas and innovative platforms and products. He is a limited partnerships expert, having established numerous private equity and venture capital funds, including negotiating with significant cornerstone investors such as the New Zealand Venture Investment Fund (NZVIF), New Zealand Super Fund, ACC and Maori investors.
Jeremy also spent several years working in offshore funds for a major offshore law firm, and is admitted to the bar in both Guernsey and the Cayman Islands.
Special Counsel - Financial Services
Kara has more than 25 years’ experience as a commercial, banking, financial services, securities and insurance lawyer. She regularly advises on legal issues surrounding financial services regulation, insurance law, information technology, business ventures, capital markets, insolvency and general commercial law.
Kara advises on a range of business ventures, business structures, transactional advice, and governance issues, and on all aspects of banking and financial services transactions and regulation.
Kara’s hands-on pragmatic approach means she is often sought by organisations to provide special counsel.
Special Counsel - Financial Services
Shane has more than 25 years’ experience in the financial services area, with particular expertise in advising corporate trustees. He regularly advises licensed trustee companies on all facets of the corporate trustee role, including retail, wholesale, listed and un-listed debt issues, establishing and administering managed investment schemes and securitisation structures covering residential mortgage receivables, asset-backed receivables and motor vehicle receivables. Shane also advises on compliance issues arising under the Financial Markets Conduct Act 2013 and recently has assisted trustee companies with analysing (and submitting on) the new Trusts Bill.
Shane is a Special Counsel in our managed funds team, having joined us in mid-2016 from Guardian Trust where he was Head of Legal – Corporate Trusts. Shane joined Guardian Trust after 23 years at another national law firm, where he was Special Counsel from 2008 to 2015.
Shane is recognised by the New Zealand market as one of the market-leading corporate trustee lawyers, with excellent and long-standing relationships with each of the licensed supervisor/trustee companies: Guardian Trust, Covenant, Public Trust and Trustees Executors.
Senior Associate - Financial Services
Andrew is a Senior Associate in the Banking and Financial Services Team. Andrew is a financial services specialist and has broad experience in all areas of New Zealand’s capital markets, with a particular expertise in financial services regulation, funds management, private capital raisings, stock exchange rules and listed financial products. Andrew has worked with many of New Zealand’s major financial institutions assisting with reviewing and drafting offer documents, trust deeds, investment management agreements and other capital markets documentation as well as advising on a range of issues related to offering securities and operating financial services or financial advisory businesses in New Zealand. Andrew has previously worked in‑house at NZX in New Zealand and the London Stock Exchange.
Senior Associate - Banking and Finance
Ian specialises in banking and financial services. Ian acts for senior and mezzanine lenders and borrowers on property acquisition and development facilities, and for both lenders and borrowers in relation to a full range of corporate debt facilities, including acquisition finance. He also acts for lenders in the film finance and structured finance space, as well as acting for issuers in relation to debt capital markets transactions.
Ian advises a number of financial institutions and large corporates on regulatory compliance, with a particular focus on anti-money laundering, financial markets conduct, consumer credit and personal property securities regulation.
Ian is admitted in New South Wales and holds a current New South Wales practising certificate.
How we help
- Exchange Traded Funds
- Hedge Funds
- Offshore Funds
- Private Equity and Venture Capital Funds Property and Infrastructure Funds
- Regulated Mergers and Acquisitions
- Regulatory and Governance
- Retail Funds and Products
- Structured Products
- Wholesale Funds