Chief Legal Officer. Michael is a Victorian barrister whose areas of practice include Banking and Finance, Commercial Law and Companies and Securities. He was a partner in the Mergers and Acquisitions group of Mallesons until July 2003 and has worked on numerous large transactions.
The CLO will also lead ASIC’s new team of Special Counsel and contribute to legal professional development for the whole of ASIC. These Special Counsel have been recruited through internal promotion and external recruitment. They will provide strategic, legal and other input into major cases and assist the deterrence teams.
Senior Executive Leader, Strategy and Policy. Andrew was previously a Special Counsel in ASIC's Chief Legal Office and has held senior positions in the Investment Banks and Strategic Policy teams. Andrew has been closely involved in projects such as the Future of Financial Advice reforms, the short selling ban and licensing of credit rating agencies. Prior to joining ASIC, Andrew worked on electricity reform for the Victorian Department of Treasury and in a national law firm.
Senior Executive Leader - Corporate Affairs. Matthew joined ASIC in 2010 as Senior Executive Leader - Corporate Affairs. Before ASIC, Matthew was a director of a public affairs consultancy that included six months on secondment with the Salteri family working on the sale of Tenix's defence assets. For several years, he also held a senior corporate affairs role with global shopping centre company, the Westfield Group. Matthew was an adviser to former Federal minister Hon Joe Hockey MP in the Howard Government and has worked with several NSW Liberal leaders. He has worked as a financial journalist in the United Kingdom and started his career as a staff reporter with the Australian Financial Review. Matthew has a Bachelor of Commerce (UNSW) and a Master of Public Affairs (Sydney University).
Senior Executive Leader - Deposit Takers, Credit and Insurance Providers. Former Director, Compliance and Campaigns, Consumer Protection, ASIC. Former Principal Solicitor, Public Interest Advocacy Centre. Greg has led the Compliance and Campaign team on work on problems within the mortgage broking industry and home underinsurance. Greg also led ASIC’s focus on false and misleading advertising, including targeted enforcement action.
NSW Regional Commissioner and Senior Executive leader - Investment Banks. With a wealth of international and domestic experience Chris was a Managing Director with Société Générale having been based in Japan, Canada and Australia managing the bank's securitisation business and teams. Prior to this he spent 10 years with Citibank. Chris is also a Chartered Accountant.
Senior Executive Leader - Financial Services (1). Former Director, NSW and ACT Enforcement, ASIC. In this role David had site and operational management of the staff and enforcement investigations undertaken by ASIC in Sydney and Canberra. Prior to joining ASIC, David was a senior partner of Blake Dawson Waldron in its Litigation & Dispute Resolution practice and held a number of leadership positions in that firm.
Senior Executive Leader - Financial Services (2). Former Director, Licensed Enforcement, ASIC. Former Assistant Director (Vic & Tas) Enforcement, ASIC.Tim is responsible for the leadership, management and strategic direction of ASIC’s complex and publicly sensitive enforcement projects in relation to licensed entities. Tim has also led teams comprising 80 staff in delivering high-quality and responsive enforcement results. Tim has also worked as a Senior Accountant in private practice.
Senior Executive Leader, Investment Managers and Superannuation. In this role Ged is responsible for the regulation of fund management, custodial services and the non-prudential aspects of superannuation funds. He was previously Senior Executive Leader for Credit at ASIC, where he was responsible for market intermediaries and non-bank lenders operating under the recently introduced credit legislation.
Prior to joining ASIC he was General Manager, Policy & Government Relations with the Financial Planning Association of Australia, dealing with a range of issues including superannuation, investment, credit and margin lending. He is a former Secretary General of the Institutional Money Market Funds Association and International Policy Adviser for the Investment Management Association in London.
Senior Executive Leader of the Financial Literacy team. Robert's role covers ASIC's work on:
the National Financial Literacy Strategy
building financial literacy in schools and other education pathways,
the MoneySmart consumer and teaching websites
Before being SEL, Robert spent three years leading the team that designed and built the MoneySmart website. He has also worked within ASIC on a range of regulatory, research and policy projects.
Robert has financial planning qualifications. He previously worked for NSW Department of Fair Trading and in the community welfare sector. Before that, he worked as a consumer advocate, particularly in helping to establish dispute resolution schemes in financial services.
Senior Executive Leader of the Financial Advisers. Joanna Bird is the Senior Executive Leader of the Financial Advisers team, a position she shares with Louise Macaulay. The Financial Advisers team is responsible for the regulation of the financial advice industry, oversight of the ASIC approved external dispute resolution schemes and general consumer protection policy work.
Previously, Joanna was an Associate Professor at the Sydney Law School at the University of Sydney, teaching and researching in the area of financial services regulation and regulatory theory and practice. She has also worked in ASIC's strategic policy area, and as a solicitor in private legal practice.
She has a Bachelor of Arts and a Bachelor of Laws (First Class Honours and University Medal) from the University of Sydney and a Bachelor of Civil Laws from the University of Oxford.
Senior Executive Leader of the Financial Advisers. Louise Macaulay is the Senior Executive Leader of the Financial Advisers team, a position she shares with Joanna Bird.The Financial Advisers team is responsible for the regulation of the financial advice industry, oversight of the ASIC approved external dispute resolution schemes and general consumer protection policy work.
Previously Louise was ASIC's Commission Counsel. Prior to that she led ASIC's enforcement policy, practice and law reform agenda. Before joining ASIC, Louise was a Senior Associate at Allens. Louise holds a Master of Laws from the University of Sydney, and a Bachelor of Laws and a Bachelor of Arts (Hons) from ANU.
Senior Executive Leader - Financial Market Infrastructure.Oliver leads ASIC's Financial Market Infrastructure team, which has primary responsibility for oversight of financial market operators, clearing & settlement facilities and trade repositories. Prior to joining ASIC, Oliver worked with McKinsey & Company in their New York Office, in the Global Corporate & Institutional Banking Practice. In that role, Oliver served a number of clients, including large exchanges, investment banks and professional services firms. Oliver is a qualified lawyer and commenced his career with a major international law firm.
Senior Executive Leader - Market & Participant Supervision. Former Chief Executive Officer, AXE ECN Pty Limited and former Manager Institutional and Wholesale Markets, during his career at the Australian Stock Exchange (1986-2006). Greg has extensive experience and knowledge in financial market development, regulation and supervision. At the ASX, Greg implemented equity market structure changes and managed the operations of the market surveillance and investigations units.
Senior Executive Leader - Market Integrity (2).Former Senior Partner, Middleton Commercial Litigation Group. Team leader – commercial dispute, professional indemnity and media practice. George has broad experience in commercial law, including risk management, disputes, mediation, court proceedings and compliance. During four years as a board member at Middletons, George was intimately involved in assessing merger/takeover proposals when the firm merged with KPMG Solicitor Corporation and Acuiti Legal in NSW.
Senior Executive Leader - Accountants and Auditors. Doug joined the ASIC as Deputy Chief Accountant in 1998. He oversaw the development of ASIC's financial reporting and audit policy, and the financial reporting surveillance program. Doug previously worked at Deloitte Touche Tohmatsu where he managed audits of companies in the financial services sector.
Senior Executive Leader - Markets Enforcement. Chris leads ASIC's Markets Enforcement team, which is responsible for investigating and taking enforcement action in relation to market misconduct, corporate governance and financial crime related matters and disciplinary action against auditors, insolvency practitioners and market participants. Chris is a former Litigation Counsel within ASIC's Chief Legal Office. He has been responsible for the carriage of a number of ASIC's major investigations and litigation. Chris has led the team on many of ASIC's recent insider trading outcomes. Prior to joining ASIC, Chris worked in the litigation group of Allens Arthur Robinson and Herbert Smith (London).
Senior Executive Leader - Corporations. This team is responsible for operational and project-based work relating to corporations, including mergers & acquisitions, schemes of arrangement, fundraisings, continuous disclosure, corporate governance and financial reporting. Prior to this Jane was Assistant Director in the ASIC team responsible for supervising ASX and other licensed financial markets. Before joining ASIC, Jane was a Senior Associate with Mallesons Stephen Jaques and has also worked as in house counsel for Westpac. Jane holds a Bachelor of Laws (Hons) and a Bachelor of Arts (Hons) from the University of Sydney.
Senior Executive Leader - Corporations. This team is responsible for operational and project-based work relating to corporations, including mergers & acquisitions, schemes of arrangement, fundraisings, continuous disclosure, corporate governance and financial reporting. Prior to joining ASIC, Kate was an associate with Sullivan & Cromwell, working in both their New York and Sydney offices. Kate holds a Master of Laws from New York University, and a Bachelor of Laws and a Bachelor of Economics (Social Science) from the University of Sydney.
Regional Commissioner WA and Senior Executive Leader - Emerging, Mining & Resources. Jane was appointed Regional Commissioner WA on 29 January 2014 and Senior Executive - Emerging, Mining & Resources on 16 December 2013. Jane has spent her professional life working predominantly in the Western Australian market in a regulatory capacity, including in a number of senior ASIC positions within the markets enforcement and strategy teams. Prior to working at ASIC Jane consulted to the Rothwells Taskforce, worked with the London Stock Exchange, The Securities Association and the Australian Stock Exchange in both Perth and Sydney. Over the course of her career, and particularly in her most recent role as Senior Manager - Emerging, Mining and Resources, Jane has developed a deep and varied knowledge of the West Australian regulatory market.
Senior Executive Leader - Registry Services and Licensing. Former Director, Public Information Program, ASIC. In this role, Rosanne’s responsibilities have included: administration of Australia’s public registers of companies and professionals, including information lodgment and searching functions; responding to enquiries through ASIC’s national call centre and the provision of on-line and over the counter services. In 2003, Rosanne led ASIC’s implementation of Government policy reforms known as CLERP 7 to simplify compliance and lodgement obligations of small businesses interacting with ASIC.
Queensland Regional Commissioner and Senior Executive Leader - Small Business Compliance and Deterrence. Brett is a former founding member of KordaMentha Forensic. Prior to joining KordaMentha Forensic, Brett was a Director and Manager at Deloitte where he consulted on investigations and fraud risk management. Before working in consulting, Brett was a Queensland Police Officer and also worked in regulatory roles with the Office of Fair Trading (NSW), Australian Competition and Consumer Commission and ASIC.
Senior Executive Leader - Registry Transformation. Formerly Deputy Chief of Operations, and Senior Executive Leader - Stakeholder Services and Director Assessment, National Assessment & Action, ASIC. Kathrine led a team of 80 lawyers, accountants, investigators and analysts to assess and action the 20,000 reports of corporate misconduct ASIC receives each year. Prior to joining ASIC, Kathrine worked as a Corporate Advisory and M&A lawyer in the Brisbane office of Mallesons Stephen Jaques.
Chief of Operations. Former Executive Director, Finance, ASIC. Carlos is responsible for funding, budget management, capital adequacy and management as well as financial and management accounting matters. He is also responsible for knowledge management. Before joining ASIC in 1992, he worked at the Australian Taxation Office, CPA Australia and Deloittes in a range of management, accounting and consulting roles.
Senior Executive (Information Technology) - Chief Information Officer, responsible for ASIC's IT Department. Formerly an Executive Director at IBM, with a background in managing large IT delivery teams. Wendy was a Trustee Director on IBM's corporate superannuation fund for seven years and also a member of IBM's Diversity Council and a spokesperson on Work/Life balance issues.