Financial advisers & service providers

Legal advice and support for financial advisers and service providers to stay compliant with licensing and regulatory obligations.

The Code of Professional Conduct for Financial Advice Services requires anyone providing regulated financial advice to retail clients to meet strict professional standards, as outlined in the Financial Services Legislation Amendment Act (FSLA) 2019. These obligations can be complex, and many advisers and providers are not fully aware of all the compliance requirements that apply to their business. McVeagh Fleming can help you understand your obligations, implement the right systems, and ensure you remain fully compliant.
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Technological innovation in financial services is constantly introducing new models, applications, processes, and products. Our team provides practical, clear guidance to help you navigate these changes while staying compliant with all regulatory requirements. Contact us today to discuss how we can support your business and provide expert advice.

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Supporting Your Success

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By working with us, you gain more than legal advice, you gain a trusted advisor focused on your business success. We bring experience across transactions, financing, and compliance to help you move faster, reduce risk, and seize opportunities with confidence. Whatever stage your business is at, we’re here to provide the clarity and support you need. Request contact today, and we’ll connect you with the lawyer best suited to your needs.

Daniel Kenyon (Partner at McVeagh Fleming), standing beside a McVeagh Fleming sponsored Counties Manukau rugby jersey.

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Team leadership

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Steve Graham

Partner

Commercial Contracts

DDI:

09 966 3607

MOB:

sgraham@mcveaghfleming.co.nz

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