REGULATORY DISPUTES AND INVESTIGATIONS

Polly has extensive experience acting on disputes and investigations under regulatory statues applying to New Zealand businesses.

FINANCIAL REGULATORY DISPUTES AND INVESTIGATIONS

Polly is experienced in defending and resolving issues under the Credit Contracts and Consumer Finance Act 2003, the Financial Markets Conduct Act 2013, and the Anti-Money Laundering and Countering Financing of Terrorism Act 2009. Polly has acted in defending proceedings brought by regulators and customers, including class-action proceedings.
Polly has assisted companies in responding to regulatory breaches, including the design of remediation programmes and regulatory engagement. Polly has acted in sensitive matters involving the Commerce Commission, Financial Markets Authority, Reserve Bank, Overseas Investment Office, and international financial regulators.  She is experienced in acting for individuals and companies in compulsory interviews, and in responding to requests for information.

SECURITIES MARKETS DISPUTES AND INVESTIGATIONS

Polly has acted to defend and successfully resolve disputes and investigations concerning allegations of market manipulation, alleged breaches of market rules, and alleged breaches of the Financial Markets Conduct Act 2013. She has acted for a defendant institution in proceedings brought in the New Zealand Markets Disciplinary Tribunal. Polly’s experience notably includes acting for an international investment bank in investigating issues of alleged trader misconduct.

JUDICIAL REVIEW AND PUBLIC LAW

Polly has acted for companies in successfully defending the judicial review of administrative decisions made in their favour under the Overseas Investment Act 2005, the Hazardous Substances and New Organisms Act 1996, and the the Dairy Industry Restructuring Act 2001. She has acted for clients in pursuing complaints to the Ombudsman, and in both making and responding to requests under the Official Information Act 1982.

INTERNAL INVESTIGATIONS

Polly has worked alongside directors and executives when dealing with issues arising from protected disclosures/whistleblowers, the discovery of potential regulatory breaches, and significant operational failures. Polly has both designed and conducted internal investigations, both within New Zealand and across borders.

Publications

Polly Pope, Emmeline Rushbrook and Kylie Dunn, “New Zealand”, Practitioners’ Guide to Cross Border Investigations (Global Investigations Review, 2020)

Polly Pope and Catherine Marks “Advising Clients in Public Inquiries - New Challenges” (LawTalk 864, 2015)