New regulatory compliance regimes since CoFi took effect earlier in 2025 and evolving tech are changing the face of financial services, and fast. Gain valuable insights into these key developments, including practical strategies for working with the evolving implementation of CoFI, understanding regulatory compliance expectations of the FMA, and examine further proposed reforms. Gain practical knowledge on M&A activity within the sector and explore the legal challenges and opportunities arising from fintech innovations and tokenisation.
Thursday, 23 October 2025
2.00pm to 3.00pm CoFI in Practice: Navigating the Next Phase
- Keeping Fair Conduct Programmes fit for purpose – the importance of maintaining, reviewing, and improving FCPs to reflect evolving risks
- Preparing for regulatory returns and ongoing engagement – understanding the requirements and the FMA’s expectations
- Adapting to regulatory refinements – examining proposed reforms and implications for financial institutions
Presented by Claire Brabant, Senior Associate, MinterEllisonRuddWatts
4.00pm to 4.15pm Break
Learning Objectives:
- Gain a practical understanding of how to maintain, review, and enhance Fair Conduct Programmes (FCPs)
- Understand the regulatory return requirements and the FMA expectations for ongoing supervision and engagement
- Gain an understanding of M&A trends, transaction structures, legal and strategic considerations
- Improve knowledge of fintech, tokenisation and developments in the area
Description
Attend and earn 3 CPD hours
4.15pm to 5.15pm M&A in Financial Services
- Overview of M&A trends in the financial services sector
- Typical structure of an M&A transaction involving a financial services business
- Key considerations for buyers and sellers of financial services businesses
Presented by Bryan Ventura, Partner (Financial Services & Corporate), Hamilton Locke
3.00pm to 4.00pm From Fintech to Tokenisation: Key Insights for Lawyers
- Improve your understanding of fintech and tokenisation, and their growing impact on the legal landscape
- Examine common legal and regulatory challenges in this rapidly evolving space
- Exploring the latest trends and developments
Presented by Ken Ng, Senior Associate, MinterEllisonRuddWatts
Presenters
Claire Brabant, Senior Associate, MinterEllisonRuddWattsClaire is a well-respected financial services lawyer with more than 20 years’ experience as senior in-house counsel. She specialises in investment funds (including KiwiSaver and superannuation), discretionary investment management services and financial services regulation. Claire has held roles in private practice, boutique investment management firms and large financial institutions – both in New Zealand and overseas. Prior to joining MinterEllisonRuddWatts, Claire was senior in-house counsel at one of New Zealand’s largest banks, advising its wealth management and private bank businesses. As a result, Claire has unique insight into how the regulatory landscape impacts funds management institutions in New Zealand. Her experience in funds management (both retail and wholesale) spans across a broad range of matters, including licensing, governance, scheme establishment and wind-up, investment management contracts, asset transition arrangements, offer documents, marketing and distribution as well as associated regulatory compliance. Claire’s depth of knowledge and awareness of industry practice is complemented by her strength in providing commercially focused and pragmatic legal advice.
Ken Ng, Senior Associate, MinterEllisonRuddWatts
Ken is a specialist financial services and investment funds lawyer with over 8 years’ experience. He advises on all aspects of financial services regulation, including financial markets conduct law, licensing, registrations, and AML/CFT compliance. He is deeply passionate about advising businesses that leverage technology to drive innovation in financial services (FinTech). His experience includes advising numerous international and domestic FinTech platforms, including securities brokerage firms, derivative issuers, payment providers, and equity crowdfunding and peer-to-peer lending platforms. He is also increasingly specialised in the blockchain and digital asset space, advising on regulatory compliance, token offerings, and customer and network terms. He advises on investment funds, joint ventures, limited partnerships, and capital raising, leveraging his prior experience as a corporate lawyer at a Tier 1 Malaysian law firm. Drawing on his expertise in both wholesale and retail investment funds, he provides comprehensive advice on all aspects of fund management and structuring. Clients value his practical approach to addressing complex legal issues and delivering prompt, commercially-focused advice.
Bryan Ventura, Partner (Financial Services & Corporate), Hamilton Locke
Bryan is an experienced financial services and investment funds lawyer, specialising in financial technology and virtual assets (crypto / Web3). He also advises on mergers and acquisitions, start-ups, and general corporate and commercial law. Bryan is an expert in virtual asset projects – cryptocurrencies, Non-Fungible Tokens (NFTs), Decentralized finance (DeFi) and blockchain – and their regulation. His expertise covers financial markets conduct law (the FMCA) including licensing, anti-money laundering and countering financing of terrorism, financial services regulation, company law, the NZX Main Board Listing Rules, the NZX Participant Rules, and Catalist Public Market Regulations. Bryan advises on capital raising, commercial contracts, consumer Terms and Conditions (T&Cs), establishment of investment funds (unit trusts, limited partnerships), corporate structuring, all forms of traditional financial services (retail and wholesale), as well as fintechs. He also advises Web3 companies and VASPs, start-ups, medium and large corporates, and financial institutions, based both in New Zealand and offshore. Bryan is the Chair of BlockchainNZ, which is part of the New Zealand Tech Alliance. He is also a Council Member of the International Digital Asset Exchange Association (IDAXA) and a member of the Payments NZ forum.
