ASIC senior leadership

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

Deputy Chairs

Karen Chester BEc (Hons)

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 press release, 7 December 2018

Daniel Crennan QC BA LLB (Hons); MAICD

Daniel Crennan QC commenced as an ASIC Deputy Chair on 16 July 2018.

Daniel is a Queen's Counsel who practised privately in corporate law, commercial law, administrative law, private international law and arbitration.

Before joining ASIC, Daniel was a member the Victorian Bar for sixteen years, served on the Bar Council for six years and was the Honorary Treasurer of the Bar.

Daniel previously served as a director of Barristers' Chambers Ltd and the Law Council of Australia.

Daniel has completed the Accelerated Route to Fellowship with the Chartered Institute of Arbitrators and is a Member of the Australian Institute of Company Directors.

He has been appointed to the boards of several public and private companies and is currently the chair of a children's charity.

Appointment as Deputy Chair, Minister's press release, 28 March 2018

Commissioners

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

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. Her post-graduate qualifications include a Graduate Diploma from the Australian Institute of Company Directors.

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

Sean Hughes BA, LLB (Hons) (Cantab – NZ); LLM (Cambridge); GAICD

Sean Hughes commenced as an ASIC commissioner on 1 December 2018, for a five-year term.

Sean was the Chief Executive of New Zealand’s capital markets and financial services regulator, the Financial Markets Authority from 2010 to 2013.

He was most recently the Group General Counsel for the listed company Tabcorp and, before that, Chief Risk and Legal Officer at UniSuper. Sean has held leadership positions at National Australia Bank, ANZ and was a partner at the law firm Herbert Geer & Rundle (now Thompson Geer).

Sean has had previous senior positions with ASIC. From 2008 to 2010, Sean was Senior Executive Leader for Corporate Governance and Corporations; and from 1999 to 2003, he held a number of senior executive roles including as Director, Financial Services Regulation.

Sean has a Bachelor of Arts and a Bachelor of Law (Hons) from the University of Canterbury in New Zealand, and a Master of Law from Cambridge University in the UK. He holds a Graduate Diploma from the Australian Institute of Company Directors.

Appointment as a commissioner, (Treasurer’s media release, 31 August 2018).

Danielle Press BEc (Hons) (WA)

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)


Financial Services

Executive Director, Financial Services

To be announced.

Senior Executive Leader, Credit, Retail Banking and Payments
Tim Gough

Tim leads ASIC’s Credit, Retail Banking and Payments team. The team oversees supervision of retail banking, consumer and small business credit, mortgage brokers and other credit intermediaries, and electronic payments. This includes responsibility for the regulation of responsible lending and ASIC’s work to monitor and review consumer outcomes from financial services. 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, Insurers
Emma Curtis

Emma leads ASIC’s Insurers team which has primary responsibility for the supervision of general and life insurance providers. Emma was previously the Group Senior Manager of ASIC’s Insurers team. She has practised as a lawyer and has more than 20 years experience in senior in-house legal and compliance roles. Before joining ASIC, Emma held senior roles in financial services firms, including life and general insurance and funds management companies. Emma holds a Master of Law and Management from the University of New South Wales, and a Bachelor of Arts (Hons) and Bachelor of Laws (Hons) from the University of Sydney.

Markets

Executive Director, Markets
Greg Yanco

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 Insolvency Practitioners 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.

Chief Accountant
Doug Niven

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 37 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 and financial reporting. 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, Insolvency Practitioners
Senior Executive Leader, Financial Reporting and Audit
Thea Eszenyi

ASIC’s Insolvency Practitioners team oversees 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. ASIC’s Financial Reporting and Audit team focuses on ensuring the quality of financial reports and related documents, supported by the quality of the independent audit. This is accomplished through discussions and assessments of both financial reports and the independent audit file. Thea has more than 30 years experience in insolvency and restructuring including senior positions in a 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), and a Professional Member of Australian Restructuring, Insolvency and Turnaround Association.

Senior Executive Leader, Market Infrastructure
Nathan Bourne

Nathan leads ASIC’s Market Infrastructure team. The team supervises Australian market licensees and operators, clearing and settlement facilities, Australian derivative trade repository operators and credit rating agencies. The team also examines new market and clearing and settlement proposals. 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 Services Authority (now the 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 Aldridge

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.

Wealth Management

Executive Director, Wealth Management
Joanna Bird

Joanna is responsible for ASIC’s regulatory work in the financial advice, investment management and superannuation sectors. She has over 18 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, Financial Advisers
Kate Metz

Kate leads ASIC’s Financial Advisers team, which supervises Australia’s financial advice industry. Her team oversees the regulatory work associated with advisers, planners and insurance brokers. In 2017–18, Australia's financial advice industry's estimated revenue was valued at over $4.7 billion. Kate has more than 18 years of regulatory experience and has worked on significant policy and enforcement initiatives. Kate now focuses on policy associated with SMSFs and digital financial products. Previously, she was technical adviser to ASIC’s Deputy Chair and held roles in the corporate finance and policy teams. 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, Investment Managers
Dr Rhys Bollen

Rhys leads ASIC’s Investment Managers team, which oversees ASIC’s regulatory work associated with managed investment schemes, wholesale funds, platforms and managed discretionary accounts. 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, Superannuation
Jane Eccleston

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.

Supervision Group

Chief Supervisory Officer
Oliver Harvey

Oliver leads ASIC's Supervision Group. In this role, he oversees ASIC's Close and Continuous Monitoring and Governance teams responsible for supervising governance and conducting on-site reviews. Oliver has more than 20 years experience in financial services and financial markets. He previously worked in New York in the global corporate and institutional banking practice of McKinsey & Co where he served a number of clients including investment banks, professional services firms and market infrastructure providers. Oliver is a qualified lawyer and commenced his career with King & Wood Mallesons. He also holds a Master of Development (Economics) from Cambridge and executive qualifications from Harvard.

Chief Supervisory Officer
Louise Macaulay

Louise leads ASIC's Supervision Group. In this role, she oversees ASIC’s Close and Continuous Monitoring and Governance teams responsible for supervising governance and conducting on-site reviews. Louise has more than 25 years experience in law and regulation and has previously held senior leadership roles in ASIC’s financial services, legal and enforcement 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.

Senior Executive Leader, Governance
Suneeta Sidhu

Suneeta leads the Governance team in ASIC’s Supervision Group. In this role she oversees the supervision of governance practices of Australia’s largest listed entities and financial services firms to achieve improvements at a firm level and across the market. Suneeta has more than 20 years of legal and regulatory experience including senior roles at ASIC overseeing corporate governance, fundraising, mergers and acquisitions and policy development. 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 inhouse legal counsel at Westpac Banking Corporation. Suneeta holds a Bachelor of Laws (Hons) and Bachelor of Arts degrees from the University of Sydney.

Assessment and Intelligence

Executive Director, Assessment and Intelligence (acting)
Diana Steicke

Diana is the acting Executive Director for ASIC’s Assessment and Intelligence group. In this role, she leads the Misconduct and Breach Reporting, Licensing, and Small Business Engagement and Compliance teams. Additionally, Diana oversees ASIC’s work to tackle illegal phoenix activity and ASIC's Office of the Whistleblower. Previously, Diana held senior leadership roles in ASIC’s Office of Small Business and Financial Services Enforcement team, as well as senior legal roles in ASIC’s 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.

Senior Executive Leader, Misconduct and Breach Reporting
Brendan Facey

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. 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, Licensing
Peng Lee

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, Small Business Engagement and Compliance
Joe Zubcic

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.

Office of Enforcement
Financial Services Enforcement

Executive Director, Financial Services Enforcement
Tim Mullaly

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. 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
Melissa Smith

Melissa is ASIC's Regional Commissioner for South Australia and 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, Melissa held senior leadership roles in ASIC's FSE team and ASIC's Financial Services Royal Commission response 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, Wealth Management Enforcement – Major Financial Institutions
David McGuinness

David leads ASIC’s Wealth Management Enforcement – Major Financial Institutions team. In this role, he oversees ASIC’s enforcement work in the funds management, financial advice and superannuation sectors. 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.

Senior Executive Leader, Wealth Management Enforcement
Marita Hogan

Marita leads ASIC’s Wealth Management Enforcement team. In this role, she oversees ASIC’s enforcement work in the superannuation, investment management and financial advice 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).

Markets Enforcement

Executive Director, Markets Enforcement
Sharon Concisom

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, Enforcement WA and Criminal Intelligence Unit
Natalie Dürr

Natalie leads ASIC’s national Criminal Intelligence Unit (CIU) and all enforcement activities in Western Australia, and is ASIC’s Regional Commissioner for WA. In Natalie’s role as Senior Executive Leader (SEL), Enforcement WA, she oversees ASIC’s WA enforcement work in the financial services, credit, markets and corporations sectors. As SEL of ASIC’s national CIU, she leads ASIC’s efforts to disrupt and mitigate the harm from organised crime in Australia's corporate and financial sectors. Previously, Natalie was an instructing solicitor for several of ASIC’s high-profile investigations and successful civil penalty proceedings in Melbourne. Natalie holds a Bachelor of Laws and has more than 25 years specialist experience as a corporate lawyer and regulator. She commenced her career with Clayton Utz in Perth. Before returning to ASIC for a second time, Natalie worked for 10 years with the WA Department of Commerce, including four years as General Counsel of its Consumer Protection Division.

Chief Legal Office

General Counsel
Chris Savundra

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 Sydney 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.

Operations

Executive Director, Operations
Warren Day

As ASIC’s Chief Operating Officer, Warren leads the Operations group, which includes ASIC's Finance, Information and Technology, Data and Analytics, Regulatory Transformation, Specialist Services, Corporate Services teams. In this role, he oversees budget and financial management, technology, facilities and support services to all ASIC teams. In addition, Warren is the Regional Commissioner for Victoria. Previously, Warren was the Executive Director of ASIC’s Assessment and Intelligence group, leading its Misconduct and Breach Reporting, Licensing and Small Business and Engagement teams. In that role, he formed ASIC's Office of the Whistleblower. 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.

Chief Finance Officer and Deputy Chief of Operations Emily Hodgson

Emily leads the Finance team. Her portfolio includes the management of ASIC’s financial and auditing functions, compliance, procurement and ASIC’s industry funding model. As Deputy COO, Emily helps oversee ASIC’s technology, facilities and support services. She has previously held several senior executive roles at ASIC, including corporate services and leading ASIC's response to the Government's funding review. Emily also spent six years in enforcement as joint lead of the NSW Enforcement Directorate. Before joining ASIC, Emily was an auditor with accounting firms KPMG and PricewaterhouseCoopers. She holds a Bachelor of Commerce (Accounting) from the University of Newcastle and is a member of Chartered Accountants Australia and New Zealand.

Senior Executive Leader, Corporate Services
Amanda Dixon

Amanda leads ASIC's Corporate Services team and has responsibility for security services, property and facilities management, travel, intelligence, records management and information resources and research. In this role, Amanda oversees ASIC’s digital working strategy and the organisation’s transition to new ways of working in an activity-based working environment. 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
Joanne Harper

Jo oversees ASIC’s information technology strategy and operations and is responsible for the supply of technology solutions and services to ASIC, internally and externally. She was previously ASIC's IT Program Director, responsible for ASIC's IT program and project portfolio. 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, Specialist Services
John Wallace

John is responsible for establishing and leading ASIC's Chief Data Office. He also heads a national team providing specialist forensic accounting, computer forensics, evidence management, knowledge management and business reporting – all of which are key to ASIC's regulatory functions. Previously, John was ASIC's Assistant Director, Enforcement, and oversaw investigation teams in the Melbourne and Hobart offices. John holds an MBA and has an extensive background in the law enforcement and health sectors. Before joining ASIC, he held senior executive roles in Victoria Police in corporate services and forensics.

Chief Data and Analytics Officer
Scott Barber

Scott leads ASIC's data and analytics strategy and is responsible for the management and use of data across the organisation. Scott has more than 20 years of experience in analytics, business intelligence, data governance, data infrastructure and leadership. Prior to joining ASIC, Scott worked in senior leadership positions for a number of organisations including Bupa, Toll Group, Bank Australia, and GE Capital. He holds a Bachelor of Applied Arts with Honours in Economics from the University of Waterloo (Canada), and a Master of Commerce and Management in International Business from University of Melbourne.

Strategy

Executive Director, Strategy
Greg Kirk

Greg oversees ASIC's Strategy group and is responsible for Strategic Policy, International Strategy, Strategic Intelligence, Financial Capability and Behavioural Research and 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, Financial Capability
Laura Higgins

Laura leads ASIC's Financial Capability team responsible for Australia's National Financial Capability Strategy, fostering collaboration across the government, business, community, education and research sectors to empower Australians to be in control of their financial lives. Laura also manages the MoneySmart Teaching Program, Indigenous Outreach Program and the MoneySmart website. Laura has more than 25 years experience in management, education, government and policy development. Prior to joining ASIC she was a Senior Adviser in the Department of the Prime Minister and Cabinet, and the Department of Education and Training. From 2009–12, Laura was Education Manager – Europe at the Australian Embassy in Brussels. Laura began her career as a teacher and has a Bachelor of Education from Queen's University (Canada) and a Bachelor of Arts (Hons) from the University of Waterloo (Canada).

Senior Executive Leader, International
Gerard Fitzpatrick

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, coordinate international cooperation requests, and oversee the Asia Region Funds Passport (ARFP) and Corporate Collective Investment Vehicles (CCIV) projects. 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.

Senior Executive Leader, Strategic Intelligence
Mark Adams

Mark leads the team responsible for driving ASIC's data science agenda as well as leading ASIC’s economic and risk analysis unit. Mark also leads ASIC's Innovation Hub and regtech initiatives. 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 Fawcett

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.

Commission specialist teams

Senior Executive Leader, Corporate Affairs
Bruce Meagher

Bruce leads ASIC’s Corporate Affairs team and is responsible for media, government relations, social and digital engagement, publishing and editing, employee communications and the ASIC in the Community program. Bruce has held senior executive positions in private and public sector organisations with responsibility for government relations, public policy and external and internal communications including at Foxtel, SBS, Optus and Visa International. Early in his career he worked as a lawyer at Freehill, Hollingdale and Page and as an adviser to two federal cabinet ministers. He holds a Bachelor of Arts and a Bachelor of Law degree from the University of Sydney and is a Graduate of the Australian Institute of Company Directors.

Senior Executive Leader, Internal Audit
Shelley Denniss

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.

Senior Executive Leader, People and Development
Shayne Brown

Shayne oversees ASIC's People and Development team and leads our People Strategy to create a culture where our people can reach their full potential. In this role, Shayne is responsible for organisational culture, workforce planning, recruitment, leadership, learning and development, work health and safety, employee relations, and diversity and inclusion. She has more than 25 years experience in people, culture and organisational development in a range of sectors, including banking, education, government, retail, nuclear and manufacturing. Shayne holds an MBA and Masters qualifications in both Commerce and Education. Before joining ASIC, Shayne held senior roles within the Coles Supermarkets group, the Australian Nuclear Science and Technology Organisation and Caltex Australia.

Chief Risk Officer
Zack Gurdon

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.

Registry

Executive Director, Registry
Rosanne Bell

Rosanne leads ASIC’s Registry team which is responsible for providing efficient and accessible business registers that make it easier to do business. In this role, she oversees the administration of over 30 legal registers, registers of companies and business names, and a range of professional and other registers. The Registry team handles more than 3 million lodgements and facilitates more 120 million searches each year. Rosanne is also responsible for ASIC’s Customer Contact Centre, which handles over 900,000 enquiries annually. Rosanne has implemented major reforms including the National Business Names register and a new Financial Advisers Register. She also leads ASIC’s work with government to substantially modernise business registers. Rosanne is a member of the Australian Institute of Company Directors, the president of the international Corporate Registers Forum, and holds a Bachelor of Commerce and postgraduate qualifications.

Regional Commissioners

Region

Regional Commissioner

Queensland

Amanda Zeller (Acting)

Victoria

Warren Day

Tasmania

Chris Green

Western Australia

Natalie Dürr

South Australia

Melissa Smith

Australian Capital Territory

Laura Higgins

Northern Territory

Duncan Poulson

New South Wales

Greg Yanco (Acting)

ASIC industry funding

Cost Recovery Implementation Statement 2019-20

12 June 2020

A consultation version of the Cost Recovery Implementation Statement 2019-20 (CRIS)  has been released.

Read the draft CRIS

Industry funding: what you need to know

Video Thumb Industry Funding What You Need To Know

Watch the video

More about industry funding

Last updated: 21/09/2020 01:05