Financial Markets / Securities Law

Written By Phil Houghton

My depth of experience in financial markets and securities law means that I am well placed to assist you to respond to any FMA regulatory investigation or proceeding. I help clients deal with information requests (or search warrants), as well as attend interviews, and give you advice on how best to respond.

I can also provide pragmatic and strategic advice to private clients and corporates on licencing applications under the FMCA and related legislation.

I have strong grounding in financial markets law and practice:

  • I have acted as counsel for both New Zealand’s financial markets regulators (Securities Commission/FMA & NZX) in a number of primary and secondary market cases involving insider trading, market manipulation, and disclosure related breaches.

  • I was seconded to the role the FMA’s Acting Head of Enforcement at its inception.

  • I have taught Financial Markets Law at the University of Auckland Law School since 2012 and hold the Chartered Financial Analyst designation (CFA Program (cfainstitute.org)).

I will put that experience and knowledge to work for you to best protect your interests and guide you through the process.

Other Areas of Expertise

Phil Houghton http://www.houghtoncreative.co.nz
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