ASIC senior executives

Chair

James Shipton BA (Melbourne), LLB (Hons) (Monash)

James Shipton commenced as ASIC Chair on 1 February 2018.

James has more than 20 years experience in regulation, financial markets, the law and academia – internationally and in Australia.

Most recently, he was the Executive Director of Harvard Law School's Program on International Financial Systems. Prior to that, James was an Executive Director and Commission member of the Securities and Futures Commission (SFC) of Hong Kong, where he led the Intermediaries (Supervision & Licensing) Division.

Before the SFC, James spent almost a decade at Goldman Sachs in Hong Kong in senior roles as a Managing Director in both the securities division and the Asia Pacific executive office. Prior to that, he ran the hedge fund consultancy business of Eurekahedge, co-founded ComplianceAsia (Asia’s first pan-regional independent regulatory consulting firm) in Singapore and worked in equity capital markets at Dresdner Kleinwort Wasserstein (now Commerzbank) in Hong Kong and London.

James began his career as a funds and securities lawyer at law firms Linklaters and Blake Dawson Waldron in Melbourne, Hong Kong and Bangkok.

James has previously served as Deputy Chair of the Alternative Investment Management Association’s Hong Kong & China Chapter, Vice Chair of the Asian Securities Industry and Financial Markets Association and a Board Member of the Hong Kong Treasury Markets Association. He has also served on the Professional Advisory Board for the Asian Institute of International Financial Law, the Hong Kong Advisory Group for the Fred Hollows Foundation and the business advisory councils to the United Nations Economics and Social Commission for Asia Pacific (UNESCAP) and the Hong Kong Securities and Investment Institute.

Appointment as Chair, Minister's press release, 17 October 2017


Commissioners

Peter Kell BA (Hons) (Sydney)

Peter Kell commenced as Deputy Chair on 6 May 2013. Prior to this appointment he was a Commissioner from 7 November 2011.

From August 2008, Peter was Deputy Chair of the Australian Competition and Consumer Commission (ACCC). He was President of the International Consumer Protection Enforcement Network in 2009–10, and also served on the Consumer Policy Committee of the Organisation for Economic Co-operation and Development (OECD). Peter has been on the Australian Government Financial Literacy Board since its establishment, and is a member of the Commonwealth Consumer Affairs Advisory Council.

Before joining the ACCC, Peter was Chief Executive of CHOICE (formerly the Australian Consumers Association) and a board member of the global consumer organisation Consumers International.

Between 1998 and 2004, he was ASIC’s Executive Director of Consumer Protection and its New South Wales Regional Commissioner.

Reappointment as Deputy Chair, Minister's press release, 19 March 2018

Appointment as Deputy Chair, Treasurer's press release, 24 April 2013

Appointment as Commissioner, Treasurer's press release, 20 October 2011

John Price BA, LLB (Hons) (Queensland)

John Price commenced as an ASIC Commissioner on 21 March 2012.

He has over 15 years regulatory experience in a variety of regulatory roles at ASIC relating to policy making, fundraising, mergers and acquisitions, financial services and products, licensing, insolvency, ASIC's Registry and financial reporting and audit.

John was previously a member of CAMAC, an advisory body to Government on corporate and markets issues and also the Financial Reporting Council, a body providing broad oversight of various accounting and audit-related issues in Australia.

John is a current member of the Council of Financial Regulators, the coordinating body for Australia's main financial regulatory agencies. John is the sponsor of ASIC's innovation hub, an initiative to help innovative fintech startups offering financial products or financial services in Australia. He also leads ASIC's work helping small business and cutting red-tape.

Prior to joining ASIC, John worked in the Gold Coast and Brisbane offices of Corrs Chambers Westgarth, a national law firm.

Reappointment as a Commissioner, Minister's press release, 19 March 2018

Cathie Armour BEc, LLB (Hons) (ANU); LLM (Sydney)

Cathie Armour commenced as an ASIC Commissioner on 3 June 2013.

Cathie has 18 years experience in legal counsel leadership roles in international financial institutions. Most recently, she was General Counsel for Macquarie Capital and an Executive Director of Macquarie Group, advising on equity, debt and private capital markets, mergers and acquisitions, and financial investment transactions. She has also held senior compliance and operational risk positions at Macquarie Capital and at JP Morgan in Australia. Before she joined ASIC, Cathie was also a member of the ASX Tribunal.

Cathie previously worked in private legal practice for the forerunners of the firms King & Wood Mallesons and Allens in Sydney and for Milbank, Tweed, Hadley & McCloy in New York.

Reappointment as a Commissioner, Minister's media release, 23 May 2017

Appointment as a Commissioner, Treasurer's press release, 24 April 2013


Commission specialist teams

Team

Senior Executive

Chief Legal Officer

Chris Savundra

Corporate Affairs

Matthew Abbott

People & Development

Helen O'Loughlin

Internal Audit & Operational Risk

Clare Lewis

Strategy group

Senior Executive Leader: Greg Kirk

Team

Senior Executive Leader

Strategic Policy

Andrew Fawcett

Strategic Intelligence

Mark Adams

International Strategy

Ged Fitzpatrick

Financial Capability

Laura Higgins

Markets

Stakeholder team

Senior Executive Leader

Financial Reporting and Audit

Doug Niven

Corporations

Claire LaBouchardiere (Acting) / Rachel Howitt (Acting)

Financial Market Infrastructure

Oliver Harvey

Insolvency Practitioners

Thea Eszenyi

Market and Participant Supervision

Greg Yanco

Enforcement team

Senior Executive Leader

Markets

Sharon Concisom

Enforcement (WA)

Natalie Dürr

Investors and financial consumers

Stakeholder team

Senior Executive Leader

Investment Managers & Super Funds

Jane Eccleston

Financial Advisers

Louise Macaulay / Joanna Bird

Deposit Takers & Insurers & Credit Services

Michael Saadat

Assessment and Intelligence

Warren Day

Enforcement team

Senior Executive Leader

Financial Services

Tim Mullaly

Registry and licensing

 

Senior Executive Leader

Registry

Rosanne Bell

Operations

Senior officer

Chief of Operations

Carlos Iglesias

Chief Information Officer

Jo Harper

Chief Financial Officer

Emily Hodgson

Corporate Services

Amanda Dixon

Chief Data Officer

John Wallace

Regional Commissioners

Region

Regional Commissioner

Queensland

John Weaver

Victoria

Warren Day

Tasmania

Chris Green

Western Australia

Natalie Dürr

South Australia

Melissa Smith

Australian Capital Territory

Christian Mikula

Northern Territory

Duncan Poulson

New South Wales

Michael Saadat

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Last updated: 23/05/2018 11:34