Joanna Lim
Jo is a special counsel in our commercial group, based in our Christchurch office.
She advises clients on a wide range of governance and general commercial issues, and has a specialist focus in financial sector regulatory compliance, and climate change adaptation/the emissions trading scheme (ETS).
Regulatory compliance
Jo advises clients across of a variety of sectors on regulatory compliance and preparation of documents for:
- all aspects of the Financial Markets Conduct Act 2013, with a special interest in workplace savings schemes, licensing and derivatives;
- financial service providers, including financial advisers and brokers;
- anti-money laundering (including writing compliance documents and being involved in managing ongoing compliance for Simpson Grierson and other reporting entities); and
- insurers (including licensing, other compliance, and policy wording/advertising reviews).
Climate change and ETS
This area is an enduring passion of Jo’s and she has significant experience in advising participants and potential participants, across a range of sectors, on:
- compliance matters;
- forestry aspects;
- emission unit trading; and
- due diligence considerations.
Governance and general commercial
Jo can assist with company secretarial, establishment and ongoing governance issues for companies, co-operatives, incorporated societies, and commercial trusts (eg energy trusts, managed investment schemes). As an experienced commercial lawyer, she can also help with a broad range of business issues, and mergers/acquisitions.
Examples of Work
- Advising workplace savings schemes on compliance with the Financial Markets Conduct Act and on trust deed and member issues
- Advising on regulated offers and exclusions, licensing, derivatives, employee share schemes, exemptions, and financial adviser and broking service obligations
- Advising on anti-money laundering regulation, risk assessments and compliance programmes, including taking a lead role in developing Simpson Grierson’s AML/CFT documentation and assisting a number of financial institution reporting entities with their AML/CFT compliance
- Constitutional and governance advice for companies, incorporated societies and commercial trusts
- Supply and procurement contracts for a broad range of clients, encompassing both private and public sector
- Establishment of emsTradepoint gas trading platform and ongoing advice and assistance with rule changes, as well as advising on gas industry regulation, transmission arrangements and a range of other gas sector issues
- Advising on the NZ Emissions Trading Scheme, including participant obligations, emissions trading contracts and forestry issues
- Advising co-operative companies on co-operative issues and on the Financial Markets Conduct Act
- Advising overseas insurers and product providers on New Zealand licensing
- Reviewing insurance compliance including policy wording and advertising
- Advising on social enterprise structures and contracting