Independent Investigations & Reviews

I conduct independent investigations, inquiries, and reviews, with a particular focus on the financial sector.  When something has gone wrong in your organisation — or you suspect it has — I will get to the bottom of it and give you clear, pragmatic advice on the way forward.

I have spent nearly three decades examining financial and commercial misconduct — as a Crown prosecutor, as counsel for New Zealand’s financial markets and commerce regulators (Securities Commission/FMA, NZX, and the Commerce Commission), and as a member of the Serious Fraud Office Panel of Prosecutors.  I hold the Chartered Financial Analyst designation and have taught Financial Markets Law at the University of Auckland Law School since 2012.  

That background means I get to grips with complex financial material quickly, and I know the right questions to ask.  I understand the instruments and the context, not just the processes for trading and adviser misconduct, mis-selling, misuse of client funds, and AML failures.

I can assist with:

•     reviews of Fair Conduct Programmes and remediation reviews for licensed firms under the CoFI regime;

•     independent investigations, including workplace investigations and protected disclosure (whistleblower) investigations;

•     public inquiries under the Inquiries Act 2013, and public reviews;

•     reviews of statutory decision-making; and

•     bespoke, needs-based reviews of your organisation, including its compliance and governance arrangements.

I also advise insurers and non-bank lenders on regulatory issues, including self-reporting obligations and investigations.

Procedural fairness is front and centre in every investigation I conduct.  A flawed process will undermine even the soundest findings.  My reports are independent, evidence-based and practical — designed to help you move forward with confidence.