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DLA Piper New Zealand

Work +64 9 303 2019
Fax +64 9 303 2311
DLA Piper New Zealand, Nicole MacFarlane, Auckland, NEW ZEALAND

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Nicole MacFarlane

Work +64 9 300 3891
DLA Piper LLP (US)

Work Department

Special Counsel, Financial Services


Nicole MacFarlane has significant experience advising clients in the financial services and funds management sector on regulatory compliance, corporate governance, and offering of financial products to the retail and wholesale markets. As well as her experience in private practice, she spent a number of years in a range of senior in-house roles.

Nicole has been extensively involved in advising clients on compliance with, and the implementation of, the Financial Markets Conduct Act 2013. In particular, she has advised clients on licensing applications, compliance of governing documents, new disclosure requirements and financial reporting obligations. Clients include managers of managed investment schemes, issuers of equity and debt securities (including NBDTs), supervisors, derivatives issuers, and peer-to-peer lending and crowd funding intermediaries.

Nicole has also advised on custody arrangements with custodians, supervisors and wrap platforms, and limited partnerships arrangements and property schemes.


Barrister and Solicitor of the High Court of New Zealand, 1998


New Zealand Law Society, Auckland Women Lawyers Association, Women in Super (NZ) Incorporated


LL.B., Victoria University of Wellington; New Zealand 1998

New Zealand

Investment funds

Within: Next Generation Partners

Nicole MacFarlane - 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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