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DLA Piper New Zealand

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DLA Piper New Zealand, Tom Barnes, Wellington, NEW ZEALAND

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Tom Barnes

Work +64 4 474 3211
DLA Piper LLP (US)

Work Department

Senior Associate, Financial Services


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.


Barrister and Solicitor of the High Court of New Zealand, 2007


New Zealand Law Society, Institute of Financial Professionals New Zealand, Inc.


LL.B., Victoria University of Wellington, New Zealand, 2006

New Zealand

Investment funds

Within: Next Generation Partners

Tom Barnes - DLA Piper New Zealand

Within: Investment funds

DLA Piper New Zealand has 'institutional knowledge that is invaluable', according to one client. The firm assists licensed managers, supervisors, custodians and investment managers with regulatory matters such as the reporting requirements of the Financial Markets Conduct Act, distribution models, fund design and fund establishment. It is also busy with the implementation of the Asia Region Funds Passport in New Zealand, having been chosen as the only local firm to participate in the pilot program. It handles retail and wholesale investment funds and KiwiSaver matters, and also works with sovereign funds such as the Government Superannuation Fund. Tracey Cross in Auckland and Alasdair McBeth and Rachel Taylor in Wellington jointly lead the practice and are 'very strong on investment and superannuation issues'. McBeth recently advised online investment fund supermarket operator Investnow Saving and Investment Service on the purchase of a book of clients from Rabodirect. Special counsel Nicole MacFarlane and senior associates Neisha Mistry (who exhibits 'good attention to detail'), Geoff Ward-Marshall and Tom Barnes are also recommended.

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Legal Developments by:
DLA Piper LLP (US)

  • Sentencing guidelines for corporate manslaughter

    In February 2010 the Sentencing Guidelines Council (the SGC) issued definitive guidelines to courts on imposing appropriate sentences for corporate manslaughter and health and safety offences causing death. The SGC states that fines imposed on companies found guilty of corporate manslaughter should not fall below £500,000, while fines in respect of health and safety offences that are a significant cause of death should be at least £100,000. Crucially, the SGC declined to provide for a fixed link between the imposed fine and the turnover or profitability of the offending company.

    - DLA Piper UK LLP

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