Robust corporate governance, regulatory compliance and effective risk management are three mainstays of effective company direction.

DLA Piper New Zealand is trusted counsel to some of the country’s leading boards and executives. We provide strategic advice to help companies and organisations navigate through the increasing complexity of regulation and legislation.

Through better governance, we help clients not only comply but also seize control of opportunity.

Changes over the past few years have been most profound in the areas of capital and financial markets; health and safety; maritime, aviation and adventure tourism; funds and superannuation; banking and finance; RMA and the environment.

The duty this legislation imposes on boards and executives is far more rigorous. Directors, managers and officers must now take a central role in active, comprehensive and strategic governance, compliance and risk management across enterprises.

DLA Piper New Zealand helps clients understand and manage these rapidly increasing demands, in a timely and cost effective way.

We offer comprehensive legal advice on new statutes and their implementation, disclosure, government affairs, rights and responsibilities, appropriate structures to meet the needs of new and current rules, management and briefing of committees of the board, and implementing structures within the board to deliver sound governance at all levels, and appropriate levels of monitoring at the organisational level.

DLA Piper New Zealand calls upon its multi-disciplinary teams to provide compliance and risk management advice for annuity clients in the financial sector (including some of the leading players in New Zealand’s funds and superannuation sector); the insurance sector; the health sector; for leading educational institutes; the banking sector; the tourism sector; capital markets; the IT, social media, privacy and IP areas; mining and exploration; agriculture and aquaculture. We also work for central government and local government entities to ensure their unique statutory and regulatory obligations are met in all respects.

Our role is pre-emptive and practical. We provide training programmes, policy development, offer board and management advice and will provide clients with regular updates on proposed and actual changes to legislation and regulation.

DLA Piper has international strength in governance.  We are well placed to deliver and share with clients invaluable insights into global themes in corporate governance, compliance and risk management.

CAPABILITIES

Governance and compliance

  • Principles of good governance
  • Codes of ethics; whistleblowing
  • Director, manager and officer training and coaching
  • Plain English governance briefings to boards and management
  • Conflicts of interest
  • Meaningful disclosure, reporting, compliance and accountability
  • Board committees, their role, function and actions
  • Independent audits
  • Board and committee charters, policies and reporting
  • Selection and appointment of directors and chairs

Risk management

  • Health and safety risk management; employment risk management, IP and IT risk management (including social media); financial and fraud risk management; special sector risk management (e.g. mining; banking; funds and superannuation management; insurance; adventure tourism; medical and health; central government and local government; etc)
  • Identifying risks, classes of risk; identifying key risk indicators; analysing events; defining an entity’s risk profile
  • Systems for risk management; independent or external audits and assurance (including financial); risk policies; risk monitoring; risk reporting; risk mitigation
  • Internal audit function
  • Disclosure and training; compliance
  • Succession planning
  • Business continuity planning
  • Stakeholder and relationship management

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EXPERIENCE

Current compliance programmes
DLA Piper New Zealand provides programmes for listed and un-listed clients working across different sectors including government. This includes regular legislative updates and pro-active advice on the impact of regulatory change.

AMP
DLA Piper New Zealand acted for this client in relation to its application to be a qualifying financial entity under the Financial Advisers Act. This included providing signoff for all primary and secondary disclosure statements for AMP’s financial advisers.