LLB, Victoria University of Wellington; BBmedSc, Victoria University of Wellington
2017, New Zealand
Doug specialises in financial services law, focusing on regulation and compliance.
Before joining Chapman Tripp, Doug worked as an in-house lawyer at the Financial Markets Authority (New Zealand's financial markets regulator).
He has experience advising on all aspects of financial markets regulation, including working with banks, insurers, financial advisers, licensed entities, supervisors and fin-tech startups.
- Advising a wide range of financial service providers on their obligations under the full range of financial services legislation, including the Financial Markets Conduct Act, Financial Service Providers (Registration and Dispute Resolution) Act, Financial Services Legislation Amendment Act, Financial Markets (Conduct of Institutions) Amendment Act, Retail Payment System Act, and the Anti-Money Laundering and Countering Financing of Terrorism Act.
- Worked on the implementation of FMA’s licensing process for the financial advice regime.
- Advised on the use of formal and informal regulatory tools.
- Advised on applications for exemption under the Financial Markets Conduct Act and Anti-Money Laundering and Countering Financing of Terrorism Act.
- Advised on regulatory developments, including legislative change, to deliver on policy outcomes.
- Helped initiate the regulatory change project for financial advice reforms at a large NZ bank.