Tom Barnes is a senior associate in the financial services and funds management team. Tom advises across the spectrum of issues relevant to fund managers, trustees, custodians, distributors and their service providers. Tom has significant experience advising clients on establishing new and innovative products, regulatory compliance, governance and legal risk management.
Recently, Tom has been heavily involved in the transition of products and providers to the new Financial Markets Conduct Act 2013 regime. This included obtaining market services licenses, updating constitutional documentation, producing disclosure materials and investor communications, and advising on all aspects of related issues such as the operation of the new Disclose website.
Tom assists offshore fund managers gain access to the New Zealand retail and institutional markets through a variety of mechanisms such as master-feeder structures, wholesale market exemptions and interjurisdictional mutual recognition arrangements. Tom also has a strong focus on regulation and compliance, pairing a granular understanding of the statutory rules with strong relationships with relevant regulatory bodies.
Tom is a contributing author to Investment Funds: International Series, New Zealand Financial Markets Law and Practice and the NZ Chapter of LexisNexis® Guide to FATCA Compliance.