ASIC senior leadership
Joseph Longo commenced as ASIC Chair on 1 June 2021.
He has more than 38 years experience in corporate law, financial services, governance and regulation in Australia and overseas.
Most recently, he was a senior adviser at Herbert Smith Freehills, specialising in regulatory matters, enforcement, commercial law and internal legal matters. Earlier in his career, Joseph was a partner at Parker and Parker (now Herbert Smith Freehills).
Joseph was the general counsel for Deutsche Bank in London and Hong Kong for 17 years, advising on a range of regulatory issues, governance, infrastructure and non-financial risk.
Earlier, Joseph was the national director of enforcement at ASIC for five years, responsible for the coordination and direction of all enforcement and litigation activities.
He has experience navigating multi-jurisdictional investigations and enforcement activity across financial services.
He holds a Bachelor of Jurisprudence (Hons) and a Bachelor of Laws (Hons) from the University of Western Australia and a Master of Laws from Yale Law School.
Appointment as Chair, Treasurer’s media release, 29 April 2021.
Karen Chester commenced as an ASIC Deputy Chair on 29 January 2019.
Before joining ASIC, Karen was a Commissioner at the Productivity Commission since 2013 and Deputy Chair since May 2016.
Previously, Karen was a Partner at Mercer and Global Head of Infrastructure. Before joining Mercer, Karen was a Partner at Access Capital Advisers and the CEO of Access Economics. Karen has held directorships on several Australian infrastructure company boards.
Before moving to the private sector, Karen held senior economic policy roles in the Australian Treasury and the Department of Prime Minister and Cabinet.
Karen has a first class honours degree in Economics from the University of Queensland and was awarded an honorary doctorate in Economics by the University in 2017. She is also a graduate of the Australian Institute of Company Directors.
Appointment as Deputy Chair, Treasurer’s media release, 7 December 2018.
Sarah Court commenced as an ASIC Deputy Chair on 1 June 2021.
Prior to joining ASIC, Sarah was a Commissioner at the Australian Competition and Consumer Commission for three terms from May 2008 to May 2021. She contributed to the strategic leadership and corporate governance of the ACCC and decision-making across range of complex economy-wide legal and economic issues.
Sarah has extensive experience in government legal work, including compliance, restrictive trade practices, mergers and acquisitions, consumer protection and law enforcement litigation.
She previously worked as a senior executive lawyer with the Australian Government Solicitor, working with Australian Government agencies to provide advice on complex and sensitive legal matters.
Sarah held board positions with the Law School and Centre for Regulation and Market Analysis at the University of South Australia.
Sarah holds a Bachelor of Arts (Jurisprudence) and a Bachelor of Laws (Honours) from the University of Adelaide, as well as a Graduate Diploma in Legal Practice from the Australian National University. She is a Fellow of the Australian Institute of Company Directors.
Appointment as Deputy Chair, Treasurer’s media release, 29 April 2021.
Danielle commenced as an ASIC commissioner for a five-year term on 17 September 2018.
She brings to ASIC broad corporate leadership and specialist experience in investment management, capital markets and superannuation.
Danielle was most recently Chief Executive Officer of the Myer Family Company and, from 2010 to 2016, Chief Executive Officer of Equipsuper.
She has also had senior roles at UBS Global Asset Management and SBC Asset Management and started her career as an analyst at the Reserve Bank of Australia.
Appointment as commissioner, Treasurer’s media release, 31 August 2018.
Chief of Staff
The Chief of Staff advises the Chair and operates as a link between the Commission, senior leaders and key external stakeholders. Louise supports the Chair to deliver ASIC’s strategic and operational priorities. She also oversees ASIC’s Government Relations function. Louise has more than 25 years experience in regulation and law and has previously held senior leadership roles in ASIC’s financial services, legal, enforcement and supervision teams. She was previously ASIC’s Chief Supervisory Officer with responsibility for the Governance and Close and Continuous Monitoring teams. Before joining ASIC, Louise was a senior associate at Allens, specialising in commercial litigation. Louise holds a Master of Laws from the University of Sydney, and a combined Bachelor of Laws and Arts (Hons) from the Australian National University.
Chief Operating Officer
As ASIC’s Chief Operating Officer (COO), Warren is delegated operational responsibilities by the Chair. The COO is responsible for the day to day management and implementation of ASIC’s organisational strategy and operational and support functions. The COO leads ASIC’s Finance, People and Development, Chief Risk Office, Internal Audit and Communications. Previously, Warren was the Executive Director of ASIC’s Assessment and Intelligence group. Warren has more than 25 years experience in regulation, enforcement, commercial litigation, audit and taxation, and has led significant ASIC investigations into consumer protection issues, credit and unlicensed conduct and illegal phoenix activity. Before joining ASIC, Warren worked as a solicitor at Clayton Utz and as an auditor and analyst at the Australian Taxation Office. Warren holds undergraduate and Masters qualifications in Accounting and Law (Hons) and a Masters degree in Business Information Technology.
As the Senior Executive Adviser to the Chief Operating Officer, Diana is responsible for providing expert advice to the COO, leading and executing significant strategic and operational initiatives across ASIC and working with the COO to advise, guide and manage the current and long-range change agenda. Diana is also ASIC’s Regional Commissioner for Victoria. Previously, Diana acted in the role of Executive Director, Assessment and Intelligence and has held senior leadership roles in ASIC’s Small Business Engagement and Compliance team and Financial Services Enforcement team. Diana has more than 20 years experience in enforcement, financial services regulation, commercial litigation and dispute resolution. Prior to working at ASIC, Diana held senior roles at Herbert Smith Freehills in Melbourne and Linklaters and Citigroup Inc in London. Diana holds a Bachelor of Law (Hons) and a Bachelor of Arts from the University of Adelaide.
Peter leads ASIC’s Finance team. The team provides a range of financial support services to both internal and external stakeholders through a portfolio of services including: Finance Strategy and Projects, Management Accounting, Statutory Reporting, Finance Systems, Compliance Advisory, Industry Funding, Financial Operations and Unclaimed Monies. Before joining ASIC, Peter was the CFO at the Australian Sports Commission and prior to that was a deputy CFO in the Department of the Prime Minister and Cabinet. Peter has also held roles at the Department of Finance and the Australian Reward Investment Alliance. Peter has 18 years financial management experience, built across a range of commercial and financial functions. He holds a Bachelor of Business, a Masters of Professional Accounting, a Masters of Applied Finance and is a Fellow with CPA Australia.
Chief People Officer, People and Development
Nicole oversees ASIC's People and Development function and leads our People Strategy to create a culture where our people can reach their full potential. Nicole is responsible for workforce planning, talent acquisition, organisational development, leadership and learning, health, safety and wellbeing, workplace relations and advisory, remuneration and benefits, and diversity and inclusion. Nicole has 17 years experience in organisational behaviour and design, culture change, case management, industrial relations and employee relations. Prior to joining ASIC, Nicole held senior people and culture roles at the Australian Taxation Office and the NSW Department of Premier and Cabinet. Nicole has worked across a diverse range of industries such from consumer goods to banking and finance, industry groups, government and the public sector, wholesalers, retailers, importers/exporters, agribusiness and environmental research. She holds a Masters of Strategic Human Resource Management.
Chief Risk Officer
As ASIC’s CRO, Zack is responsible for ASIC’s risk management framework. Zack works with senior leaders to navigate risks that may impact ASIC’s ability to deliver its mandate or strategic priorities. The CRO team also focuses on stress testing the effectiveness of risk management systems and controls. Prior to joining ASIC, Zack was General Manager, Group Risk, Compliance and Resilience with NBN. He has more than 20 years of experience in risk and governance in the communications sector, including senior leadership roles in strategic and operational risk, compliance, mergers and acquisitions due diligence, business continuity and crisis management, information security, conduct risk, fraud management and corporate investigations. Zack holds a Bachelor of Science (Honours) and a Masters of Security Management.
Senior Executive Leader, Internal Audit
Shelley is responsible for the executive management of ASIC’s internal audit function and supports the Audit Committee to provide independent assurance to ASIC’s Chair and the Commission about ASIC’s financial and performance reporting responsibilities, risk oversight and management, and system of internal control. Shelley previously held senior roles in the Superannuation Complaints Tribunal and was ASIC’s Financial Controller. Shelley has more than 20 years experience in compliance, change management, financial management and reporting. She is a chartered accountant and holds a Bachelor of Commerce. Before joining ASIC, Shelley was the CFO for Axle Capital and Dakota Capital and held senior roles in finance, banking and accounting in Australia, Europe and the United States.
Chief Communications Officer
Zoe leads ASIC’s Communications group, which includes the Corporate Affairs and Consumer Insights and Communications teams. She is responsible for strategic and corporate communications, media relations, employee communications, digital and consumer communications, and the ASIC in the Community program. Zoe has deep experience in leading multi-disciplinary teams to deliver corporate affairs and communication strategies in financial, regulatory and corporate environments. Prior to joining ASIC, Zoe served as Communications Director at Westpac Banking Corporation where she led the strategic communication response to the bank’s culture, governance and accountability program. Zoe was previously the General Manager of Group Communications at the Commonwealth Bank of Australia (CBA). During her eight years at CBA, she held senior roles leading communications and public affairs for the Wealth Management and Retail Banking Services divisions. Zoe has also held a number of roles across several financial services organisations, including Perpetual and MLC. These roles spanned marketing, brand, communications and corporate affairs. Zoe holds a Master of Arts (Organisational Communication) from Charles Sturt University and is completing her MBA at the University of New South Wales.
Senior Executive Leader, Corporate Affairs
Rebecca leads ASIC’s Corporate Affairs team and is responsible for media, corporate and strategic communications, employee communications and the ASIC in the Community program. Prior to joining ASIC, Rebecca specialised in international trade and investment and held senior roles with Treasury, Invest Australia and Austrade, where she was responsible for marketing and communications across South Asia, Latin America, the Middle East, Africa and Russia. Rebecca’s private sector experience includes OPSM, Gateway and management consulting to retailers in Europe, Asia, New Zealand and Australia. Rebecca is a graduate of the University of New South Wales, holds an MBA from the University of Technology Sydney and is an alum of the AsiaLink Leaders’ program.
Executive Director, Strategy
Greg oversees ASIC's Strategy group and is responsible for Behavioural Research and Policy, International Strategy, Strategic Intelligence and Strategic Policy. In his role, Greg oversees work on policy development, ASIC's corporate and business planning, consumer education, data analytics, consumer research, dispute resolution, international relations and bilateral cooperation with ASIC's global counterparts, and responses to government inquiries. He has more than 30 years experience and previously led ASIC's Deposit Takers, Credit and Insurance team.
Senior Executive Leader, Behavioural Research and Policy
Sarah leads the Behavioural Research & Policy team in ASIC’s Strategy group. Her team is responsible for consumer-facing work on financial system redress, which has included the establishment and oversight of the Australian Financial Complaints Authority, internal dispute resolution standards and data reporting and remediation. Her team also leads ASIC’s behavioural function which has a focus on applying behavioural insights and evidence into ASIC’s regulatory work and understanding how the system works for real people. Sarah has more than 25 years of regulatory and consumer protection experience. She was one of the original members of ASIC’s first consumer protection team, and has held senior roles in the financial advice and deposit takers and insurers teams. In addition to working at ASIC, Sarah has worked in environment protection, superannuation policy and at the Banking Industry Ombudsman. She also has experience in competition regulation. Sarah has a Bachelor of Economics from Monash University.
Senior Executive Leader, International
Gerard (Ged) is responsible for the International team at ASIC. The team engages closely with peer regulatory authorities and international organisations to develop international regulatory policy and coordinate international cooperation requests. Ged’s previous roles at ASIC include leading Investment Managers and Superannuation and earlier, Credit. Before joining ASIC, he led policy and government relations at the Financial Planning Association of Australia. He also held senior leadership roles at the Institutional Money Market Funds Association and Investment Management Association in London. Ged's previous regulatory roles included markets and international responsibilities at the UK FSA (precursor to the FCA) and international economic analysis and prudential supervision at the Bank of England. An economist by background, Ged also taught economic and business-related topics at universities in the UK.
Mark is ASIC’s Regional Commissioner for New South Wales and also leads ASIC’s Economic and Risk Analysis Unit, the Innovation Hub function (and regtech initiatives) and the Regulatory Efficiency Unit. The Regulatory Efficiency Unit seeks to identify unnecessary frictions and minimise the costs of regulatory requirements. Mark has held a range of senior executive positions at ASIC including lead of ASIC's competition in equity markets project and the Exchange Market Operators, Regulatory Policy and International teams. Between 2012 to 2014, Mark undertook secondments at the Ontario Securities Commission as Principal Adviser, Financial System Inquiry Secretariat and as Director of Strategy, Research and Risk. Prior to joining ASIC, Mark worked in the corporate and superannuation areas of a national law firm.
Senior Executive Leader, Strategic Policy
Andrew leads ASIC’s Strategic Policy team. Strategic Policy is responsible for organisational strategy including strategic planning, strategic corporate communications and regulatory performance reporting. Strategic Policy is also responsible for major cross-sector law reform issues and policy development, for example design and distribution obligations and product intervention powers. The team pursues strategic initiatives for ASIC like the review of banks’ compliance with breach reporting obligations, institutions’ corporate culture and the response to the Financial System Inquiry. Previously Andrew held senior positions in ASIC's Chief Legal Office, Investment Banks and Regulatory Policy teams. Prior to joining ASIC, Andrew worked on electricity reform for the Victorian Department of Treasury and in a national law firm.
Joanna is responsible for ASIC’s regulatory work in credit and banking, financial advice, institutional supervision, insurance, investment management, licensing and superannuation. She has more than 20 years of regulatory experience in financial services, underpinned by experience as a legal academic in financial services law and regulatory theory and practice. Previously, Joanna was the senior executive responsible for regulating Australia's financial advice industry. Under her leadership, the team examined how large institutions supervised their advisers and fees for no service. She also improved the quality of advice for SMSF owners and retail insurance providers. Her work has helped increase public awareness and led to legislative reform, changes in industry practice and improved enforcement outcomes. Before re-joining ASIC in 2012, Joanna was Associate Professor at Sydney Law School, where she taught financial services law and regulatory theory, and co-authored Everett and McCracken’s Banking and Financial Institutions Law. She also worked as a solicitor in banking and finance at Allen Allen & Hemsley (now Allens). Joanna has first-class honours degrees in Civil Law from the University of Oxford and Law from the University of Sydney, where she was awarded the University Medal for Law.
Senior Executive Leader, Credit and Banking
Tim leads ASIC’s Credit and Banking team. The team oversees supervision of retail banking, consumer and small business credit, mortgage brokers and other credit intermediaries, electronic payments and ASIC’s Indigenous Outreach Program. Tim originally joined ASIC in 2005 and held roles in ASIC's Deposit-takers, credit and insurers team. He started his career in the community sector as a solicitor with the Consumer Credit Legal Service (Victoria) and then as Principal Solicitor of the Consumer Law Centre of the ACT. Between April 2016 and August 2018, Tim was the Deputy Ombudsman at the Credit and Investments Ombudsman.
Senior Executive Leader, Financial Advisers
Leah leads ASIC’s Financial Advisers team, which supervises Australia’s financial advice industry. Her team oversees the regulatory work associated with advisers, planners and advice licensees. Leah has more than 10 years of regulatory experience and has worked on significant policy and enforcement initiatives. Leah is focused on improving access to good quality affordable advice and working to address advice conduct that leads to poor consumer outcomes. Prior to joining ASIC, Leah was a practising financial adviser for over 10 years, representing several Australian financial services licensees and providing personal advice to retail clients. Leah has a degree in Business from the Queensland University of Technology as well as a Graduate Diploma of Applied Corporate Governance.
Chief Supervisory Officer, Institutional Supervision
Suneeta leads ASIC's Institutional Supervision team (formerly known as the Close and Continuous Monitoring team). As Chief Supervisory Officer, she oversees ASIC’s institution-wide supervision of financial services organisations with the greatest potential impact on consumers. Suneeta has more than 25 years of legal and regulatory experience including senior roles at ASIC overseeing corporate governance, fundraising and mergers and acquisitions. She was previously the Senior Executive Leader of the Governance team. Before joining ASIC, Suneeta worked in the corporate teams of Gilbert and Tobin and Sly and Weigall (now Norton Rose Fulbright). She has also worked as in-house legal counsel at Westpac Banking Corporation. Suneeta holds a Bachelor of Laws (Hons) and Bachelor of Arts degrees from the University of Sydney.
Senior Executive Leader, Insurers
Dr Rhys Bollen
Rhys leads ASIC’s Insurers team which has primary responsibility for the supervision of general and life insurance providers. He was previously the Senior Executive Leader of ASIC’s Investment Managers team. Rhys has more than 20 years experience as a regulator, academic and public policy practitioner. Before joining ASIC, Rhys was an Executive Director at the NSW State Insurance Regulatory Authority, and Assistant Commissioner for Policy and Strategy at NSW Fair Trading. He has previously held senior leadership roles in ASIC’s international strategy, consumer and strategic policy teams. He has also worked in private legal practice. Rhys has a PhD in financial services regulation and Masters degrees in both law and business. He teaches Financial Services and Banking Law at Monash Law School.
Senior Executive Leader, Investment Managers
Kate leads ASIC’s Investment Managers team, which oversees ASIC’s regulatory work associated with managed investment schemes, wholesale funds, platforms and managed discretionary accounts. Kate has more than 20 years of regulatory experience and has worked on significant policy and enforcement initiatives. Prior to this, Kate was Senior Executive Leader of ASIC’s Financial Advisers team, which regulates Australia’s multi-billion dollar financial advice industry. During this time, Kate oversaw a number of key projects including unmet advice needs, life insurance advice, advice provided by superannuation funds and advice to set up self-managed superannuation funds. Before joining ASIC, Kate worked as a solicitor in private legal practice, specialising in corporate finance. Kate has honours degrees in Law and Arts from the University of Melbourne.
Senior Executive Leader, Licensing
Peng leads ASIC’s Licensing team which has primary responsibility for the assessment of applications relating to Australian Financial Services (AFS) licences, credit licences and auditors. Peng was previously the Senior Manager of Licensing at ASIC and has also held senior roles in ASIC’s applications and advice and Corporations teams. Before joining ASIC, Peng worked in a number of legal roles at various organisations including the Australian Securities Exchange (ASX) and Mallesons. Peng holds a Bachelor of Laws, Bachelor of Economics (Hons) and a Master of Law and Management.
Senior Executive Leader, Superannuation
Jane leads ASIC’s Superannuation team and oversees ASIC’s regulatory work associated with superannuation trustees in this $2.8 trillion sector. Her 16 years of regulatory experience includes senior roles overseeing funds management, mergers and acquisitions, fundraising, corporate governance and supervising the ASX and other licensed financial markets. Before joining ASIC, Jane was a senior associate with Mallesons Stephen Jaques (now King & Wood Mallesons), working within the Corporate/Mergers & Acquisitions team. She has also worked as in-house counsel for the Westpac Banking Corporation. Jane holds honours degrees in Law and Psychology from the University of Sydney.
Executive Director, Financial Services Enforcement
Tim is responsible for ASIC’s Financial Services Enforcement group. In this role, he oversees the leadership, management and strategic direction of ASIC’s investigations and proceedings relating to breaches of financial services and credit laws, as well as ASIC’s Small Business Engagement and Compliance team. Tim has been at ASIC for more than 20 years and has led teams as both Senior Executive Leader and Director for Licensed Enforcement. As Senior Executive Leader, Tim led a team of over 100 employees delivering a number of high-profile and responsive financial services investigations, working toward better consumer outcomes and organisational change. Before joining ASIC, Tim worked in private practice as a senior accountant. He holds a Bachelor of Laws and Bachelor of Business (Accountancy).
Senior Executive Leader, Financial Services Enforcement
Marita leads ASIC’s Wealth Management Enforcement team. In this role, she oversees ASIC’s enforcement work in the superannuation and investment management sectors. Marita has previously held senior roles in a number of ASIC teams, including Financial Services Enforcement, the Wealth Management project team, Corporate Governance and Financial Advisers. Before joining ASIC, Marita was a Senior Associate in private practice with a national law firm. She has more than 20 years experience in regulation, enforcement and the law, and holds a Bachelor of Laws (Hons) and Bachelor of Arts (Hons).
Senior Executive Leader, Financial Services Enforcement
Catherine leads the Financial Services Enforcement (FSE) team. The FSE team takes enforcement action in relation to breaches of the Corporations, ASIC and Credit Acts by financial services entities in the credit, retail banking, and insurance sectors. Previously, Catherine acted as SEL for Enforcement WA and ASIC’s Criminal Intelligence Unit, and held roles in ASIC's Market Enforcement team.
Senior Executive Leader, Financial Services Enforcement – Major Financial Institutions
David leads ASIC’s Wealth Management Enforcement – Major Financial Institutions team. In this role, he oversees ASIC’s enforcement work on financial advice, scams and unlicensed conduct. For a number of years he has also been ASIC’s representative on the IOSCO Enforcement Committee 4. David has served in several roles including as ASIC’s director of Enforcement for NSW and the ACT. Prior to joining ASIC, he was a senior partner of Blake Dawson Waldron (now Ashurst) in its litigation and dispute resolution practice and held several senior leadership positions. He has more than 35 years of legal practice and regulatory experience and holds a Bachelor of Laws from the University of Sydney.
Melissa leads initiatives to enhance ASIC’s effectiveness across the Office of Enforcement team. She has more than 23 years experience in financial services regulation and litigation, and before joining ASIC was a litigation lawyer in private practice. Melissa holds a Bachelor of Laws (Hons) and a Bachelor of Arts (Juris).
Senior Executive Leader, Small Business Engagement and Compliance
Joe leads ASIC’s Small Business Engagement and Compliance (SBE&C) team. The team is focused on helping small businesses understand and comply with their legal obligations under the Corporations Act. The SBE&C team engages with key small business stakeholders, helps registered liquidators secure company books and assets and conducts risk-based surveillances, enforcement and policy work. The team is also focused on tackling illegal phoenix activity. Joe has extensive regulatory and enforcement experience and has held senior leadership roles in ASIC’s Corporations and Corporate Governance Enforcement team. Before joining ASIC, he held several senior positions at Victoria Police. Joe holds an Executive Master of Business Administration, Diploma of Applied Finance and Bachelor of Arts.
Executive Director, Markets Enforcement
Sharon is responsible for ASIC’s Markets Enforcement team. In this role, she oversees ASIC's significant market misconduct investigations and litigation. Sharon leads a large national team embarking on enforcement investigations that help protect the integrity of Australia’s market systems. Prior to joining ASIC, she was Legal Counsel at the Australian Securities Exchange. Sharon has significant regulatory experience working across Asian markets. She also held senior positions at the Malaysian Stock Exchange (Bursa Malaysia). Sharon holds a Bachelor of Laws (Hons).
Senior Executive Leader, Corporations and Corporate Governance
Brendan leads ASIC’s Corporations and Corporate Governance team, overseeing enforcement action associated with corporations, corporate governance, insolvency practitioners, auditors, financial reporting and the whistleblower regime.
Senior Executive Leader, Enforcement WA
Wendy oversees ASIC’s enforcement work in the financial services, credit, markets and corporations sectors in Western Australia. Prior to joining ASIC, Wendy held the position of Director, Legal Services at the Corruption and Crime Commission (WA) and previously worked at the Australian Government Solicitor as a Senior Executive Lawyer. She specialises in government legal and law enforcement work and holds a Bachelor of Laws (Hons) from the University of Western Australia.
Senior Executive Leader, Markets Enforcement
Molly leads ASIC’s Markets Enforcement team. In this role, she oversees ASIC’s enforcement focused on maintaining the integrity of Australia’s financial markets, including offences relating to insider trading, market manipulation and continuous disclosure. Molly has extensive regulatory enforcement and litigation experience and has previously worked in several senior roles for the Australian Competition and Consumer Commission, and was a senior lawyer for the Royal Commission into Institutional Responses to Child Sexual Abuse. Molly holds a Bachelor of Arts (Distinction) and Bachelor of Laws.
Executive Director, Markets
Greg has primary responsibility for ASIC’s Markets group. In this role, he oversees the Market Infrastructure, Market Supervision, Corporations, Financial Reporting and Audit and Registered Liquidators teams, and works closely with the Markets Enforcement team. The Markets group is focused on improving the effectiveness of Australia’s capital markets. It also supports efficient capital raising, investment and risk management. Additionally, Greg oversees ASIC’s work to regulate corporations, auditors of disclosing entities, registered company auditors and registered liquidators. Greg has more than 30 years experience in financial market development, regulation and supervision. Before joining ASIC he was the CEO of AXE ECN Pty Limited. Greg was also the manager of institutional and wholesale markets at the Australian Stock Exchange (now Australian Securities Exchange) where he implemented equity market structure changes and managed the operation of the market surveillance and investigation units.
Doug is Chief Accountant and is primarily responsible for ASIC’s strategy and policy on financial reporting and audit, and complex and technical accounting and audit matters and issues. Doug represents ASIC externally on financial reporting, auditing policy and technical issues. He is a member of the IOSCO Committee 1 on Accounting, Audit and Disclosure and the International Forum of Independent Audit Regulators. Doug joined ASIC as Deputy Chief Accountant in 1998. He was ASIC’s Senior Executive Leader, Financial Reporting and Audit from 2008 to 2020. He has more than 39 years of experience in financial reporting and audit, and was previously at Deloitte Touche Tohmatsu where he audited companies in the financial services sector and other industries.
Senior Executive Leaders, Corporations
Rachel Howitt and Claire LaBouchardiere
In this shared role, Rachel and Claire are responsible for the regulation of corporations, including mergers and acquisitions, schemes of arrangement, fundraisings, continuous disclosure, corporate governance, financial reporting and cyber and operational resilience. Before joining ASIC, Claire was a solicitor with Gilbert + Tobin, working in the mergers and acquisitions area. Claire has more than 15 years experience in corporate law and regulation, and holds a Master of Laws from the University of Sydney, and a Bachelor of Laws and a Bachelor of Commerce from the University of Sydney. Rachel previously held roles at PricewaterhouseCoopers Legal and Deloitte in Sydney and London. Rachel has more than 18 years experience in corporate law and regulation, and holds a Bachelor of Laws and Bachelor of Economics from Macquarie University.
Senior Executive Leader, Market Infrastructure
Nathan leads ASIC’s Market Infrastructure team. The team supervises Australian market licensees and operators, clearing and settlement facilities, Australian derivative trade repository operators, benchmark administrators and credit rating agencies. The team also coordinates ASIC’s supervisory cyber resilience and crypto-asset work. Previously, Nathan has held senior leadership roles in ASIC’s Market Supervision and Market Infrastructure teams. Nathan has more than 20 years experience in financial markets, regulation and public policy. Most recently, he was the Director of Wholesale Compliance at the National Australia Bank. He has also held roles at the Reserve Bank of Australia, the Australian Treasury, the UK Financial Conduct Authority and Mitsubishi UFJ Securities in London. Nathan holds a Bachelor of Economics (Honours) and a Graduate Diploma in Applied Finance and Investment.
Senior Executive Leader, Market Supervision
Calissa leads ASIC’s Market Supervision team. The team is responsible for the real-time surveillance and monitoring of trading activities across Australia’s equities, futures and OTC markets. It is also responsible for market intermediaries’ compliance and conduct, and monitoring the distribution of complex products. Calissa held senior leadership roles in ASIC’s Market Supervision and Market Infrastructure since 2009. Before joining ASIC, she held roles at the Royal Bank of Scotland in London, the UK Financial Services Authority (now the Financial Conduct Authority), Markit and the Australian Treasury. Calissa has more than 20 years of specialist markets experience and holds a Bachelor of Psychology (Economics) and a PostGradDip in applied finance.
Senior Executive Leader, Registered Liquidators and Financial Reporting and Audit
Thea leads ASIC’s Registered Liquidators and Financial Reporting and Audit teams. The Registered Liquidators team is responsible for overseeing registered liquidators, undertaking risk-based surveillance and compliance projects and carrying out enforcement activities. In this role, Thea also oversees ASIC’s administration of the Assetless Administration Fund including applications for winding up abandoned companies and appointment of reviewing liquidators. As head of the Financial Reporting and Audit team, Thea is responsible for ASIC’s financial report surveillance, audit inspection and oversight of self-managed super fund auditors. This work focuses on ensuring the quality of financial reports and related documents, supported by the quality of the independent audit. Thea has more than 30 years' experience in insolvency and restructuring including senior positions in multidisciplinary accounting practice and a specialist insolvency and restructuring firm, where she gained experience across international, national and SME markets. Thea is a registered liquidator, a Fellow of Chartered Accountants Australia & New Zealand (and former Regional Councillor and Chairperson for SA & NT), a Professional Member of Australian Restructuring, Insolvency and Turnaround Association.
Chris is ASIC’s General Counsel and leads the Chief Legal Office, the primary source of legal advice to the Commission and legal services across ASIC. Chris and his team provide advice and guidance on complex regulatory matters, law reform and new areas of regulatory responsibility for ASIC, conducting ASIC’s litigation and advising on enforcement matters. Previously, Chris was the Senior Executive Leader for the Market Enforcement team and was responsible for the carriage of a number of ASIC’s major market misconduct matters. Before joining ASIC, he worked in the litigation group of Allens Arthur Robinson (now Allens) in Perth and Herbert Smith in London. Chris has more than 20 years legal, regulatory and enforcement experience and holds law degrees from the University of Oxford and the University of Western Australia. He also holds a Bachelor of Commerce.
Deputy General Counsel
Kathy is ASIC’s Deputy General Counsel. In this role, she assists ASIC’s General Counsel in leading the Chief Legal Office, with a focus on advising on complex regulatory matters, law reform and new areas of regulatory responsibility for ASIC. Kathy has more than 20 years of legal and regulatory experience in a variety of senior roles at ASIC, including in mergers and acquisitions, fundraising, financial services, and markets regulation. Before joining ASIC, Kathy was a Perth-based solicitor with a national law firm. Kathy holds a Bachelor of Arts degree from McGill University (Canada) and a Bachelor of Laws degree from the University of Western Australia.
Executive Director, Operations
Zak leads ASIC’s Operations group. The Operations group includes the Data and Analytics, Digital Transformation, Enterprise Portfolio and Performance Office, Enterprise Services, Information Technology, Misconduct and Breach Reporting, Modernising Business Registers, Office of the Whistleblower, Criminal Intelligence Unit, Registry Interactions and Services, and Specialist Services functions. In this role, she oversees the delivery of technology, systems, facilities and support services to all ASIC teams. Zak has more than 20 years’ experience in transformation and change, operations management, culture, people, workforce planning, technology and diversity. Before joining ASIC, Zak was the Director of Inform Software. Previously, Zak held senior leadership roles at Qantas, including roles as Head of Office of the Group Chief Information Officer, Head of Inclusion and Diversity, and Manager of Business Transformation. She holds a Bachelor of Arts, Research Methodology and Quantitative Methods from UNSW.
Chief Data and Analytics Officer (acting)
Darshil leads ASIC's data and analytics strategy and is responsible for the management and use of data across the organisation, as well as analytics and business reporting services. Darshil has more than 20 years’ experience in end-to-end data management, including data governance, data strategy, data leadership, business intelligence, and advanced analytics. Previously, he was ASIC’s Head of Analytics and Business Intelligence and Senior Manager Data Strategy. Prior to joining ASIC, Darshil was the Head of Data Governance and later Head of Data Strategy at Bupa, and held data leadership positions for a number of organisations including Connexity, Experian and GE Capital. He holds a Masters in Computer Management qualification from the Institute of Business Management & Research institution in Pune, India, and is a Member of the Australian Institute of Company Directors.
Digital Lead, Digital Transformation
Jo leads the ASIC Digital Transformation x (DTx) Program delivering ASIC’s vision of being a digitally enabled, data-driven regulator. Prior to this, she held roles as ASIC’s Chief Information Officer and IT Program Director. Before joining ASIC, Jo worked in the IT industry for more than 30 years in several roles. Her areas of specialisation include project delivery, technology governance and risk. Jo has a particular interest in promoting young women in science, technology, engineering and maths (STEM) and she is a founding member of the Sydney-based Senior Women in Technology Group (SWIT). Jo was previously appointed to the international examinations board for the MSP, PRINCE2, P3O and Managing Benefits qualifications.
Senior Executive Leader, Enterprise Services
Amanda leads ASIC's Enterprise Services team and has responsibility for security services, property and facilities management, travel, intelligence, records management and information resources and research. Amanda also oversees ASIC’s digital working strategy, specialist forensic accounting, computer forensics and e-discovery, evidence management and knowledge management. Previously, she was a Senior Executive in ASIC’s human resources team. Amanda has more than 15 years experience in senior leadership roles in government agencies, human resources and industrial relations. Before joining ASIC, Amanda worked for the Australian Public Service Commission and the Department of Primary Industries and Energy.
Chief Information Officer
Mark oversees ASIC’s information technology strategy and operations and is responsible for the supply of technology solutions and services to ASIC, internally and externally. He was previously ASIC’s Head of Infrastructure Services. Prior to joining ASIC, Mark worked across various verticals including finance, transport and logistics, and retail sectors in a range of roles in strategy, cloud, end user computing and IT infrastructure. Mark holds a Bachelor of Electrical Engineering in Digital Signal Processing from the University of Wollongong and qualifications from the Securities Institute of Australia in Applied Finance and Economics.
Senior Executive Leader, Misconduct and Breach Reporting, Office of the Whistleblower and Criminal Intelligence Unit
Brendan leads ASIC’s Misconduct and Breach Reporting (M&BR) team, which is responsible for the registration and assessment of all reports of misconduct and breach notifications. He also leads our Office of the Whistleblower, ensuring we record and assess the whistleblower disclosures we receive, communicate with whistleblowers, and engage with stakeholders to implement Australia’s corporate sector whistleblower protection regime. As the head of ASIC’s national Criminal Intelligence Unit (CIU), Brendan leads ASIC’s efforts to disrupt and mitigate the harm from organised crime in Australia's corporate and financial sectors. Before joining ASIC, Brendan worked as the Executive Director for Criminal Law Policy and Operations at the Victorian Department of Justice and held a number of senior roles at the Department. He also held senior leadership positions as the Sheriff of Victoria, and at Responsible Alcohol Victoria and the Victorian Office of Gaming and Racing. Brendan holds a Bachelor of Laws and Arts (Hons) from Monash University and a Master of Public Administration from the University of Melbourne.
Senior Executive Leader, Registry Interactions and Services
Jen leads ASIC’s Registry Interactions and Services team. Her team manages ASIC’s relationship with the newly-established Australian Business Registry Service within the Australian Taxation Office (ATO), contributes to the government’s Modernising Business Registers Program and provides professional register support functions. Jen has more than 15 years of legal and regulatory experience in a variety of roles at ASIC, including as a senior lawyer in ASIC’s Chief Legal Office specialising in financial markets regulation. Before joining ASIC, Jen worked as a financial intelligence analyst for the Australian Transaction Reports and Analysis Centre (AUSTRAC) and as a legal editor in both London and Sydney. Jen has a Bachelor of Science and a Bachelor of Law (Hons) from the University of Sydney.
ASIC’s Regional Commissioners are our local ambassadors, promoting ASIC initiatives and engaging with regional communities.
Australian Capital Territory
New South Wales