Kathy is a highly experienced financial services lawyer having spent over 12 years in private legal practice, multi-disciplinary legal practice and at the Australian Securities and Investments Commission (ASIC).
As a leading financial services lawyer specialising in superannuation and life insurance, Kathy regularly advises profit-to-member and retail superannuation funds on regulatory requirements and product disclosure requirements including in relation to compliance with the Superannuation Industry (Supervision) Act 1993 (Cth), trust law, all aspects of the Corporations Act 2001 (Cth) and APRA prudential standards. She also advises in relation mergers and acquisitions including successor fund transfers and associated disclosure requirements. Kathy also provides advise in relation to licensing, corporate governance and ASIC and APRA applications, investigations and current regulator priorities. In addition, she has expertise in relation to privacy and anti-money laundering and counter-terrorism financing (AML/CTF) obligations, including conducting independent reviews of AML/CTF programs.
While at ASIC, Kathy led the review and redrafting of the Regulatory Guide 97 fees and costs disclosure regime for superannuation and managed investment schemes leading her to develop an exclusive expertise in this area.
Kathy also presents regularly with The Association of Superannuation Funds of Australia (ASFA) to superannuation trustees on topical regulatory issues and contributes regularly to ASFA’s continuing professional development publications SuperCPD and Super CPDTrustee on topics such as trustee indemnity issues, cloud outsourcing, anti-money laundering, fund audit requirements and fees and costs disclosure.
Drawing on her diverse experience, Kathy is able to offer unique insights and knowledge to add value to her clients.
Industries
Banking and Financial Institutions & Services
Industries
Banking and Financial Institutions & Services
Language Skills
English
Language Skills
English
Specialty Groups
Corporate and M&A
Financial Institutions and Markets
Specialty Groups
Corporate and M&A
Financial Institutions and Markets
Bio
Kathy is a highly experienced financial services lawyer having spent over 12 years in private legal practice, multi-disciplinary legal practice and at the Australian Securities and Investments Commission (ASIC).
As a leading financial services lawyer specialising in superannuation and life insurance, Kathy regularly advises profit-to-member and retail superannuation funds on regulatory requirements and product disclosure requirements including in relation to compliance with the Superannuation Industry (Supervision) Act 1993 (Cth), trust law, all aspects of the Corporations Act 2001 (Cth) and APRA prudential standards. She also advises in relation mergers and acquisitions including successor fund transfers and associated disclosure requirements. Kathy also provides advise in relation to licensing, corporate governance and ASIC and APRA applications, investigations and current regulator priorities. In addition, she has expertise in relation to privacy and anti-money laundering and counter-terrorism financing (AML/CTF) obligations, including conducting independent reviews of AML/CTF programs.
While at ASIC, Kathy led the review and redrafting of the Regulatory Guide 97 fees and costs disclosure regime for superannuation and managed investment schemes leading her to develop an exclusive expertise in this area.
Kathy also presents regularly with The Association of Superannuation Funds of Australia (ASFA) to superannuation trustees on topical regulatory issues and contributes regularly to ASFA’s continuing professional development publications SuperCPD and Super CPDTrustee on topics such as trustee indemnity issues, cloud outsourcing, anti-money laundering, fund audit requirements and fees and costs disclosure.
Drawing on her diverse experience, Kathy is able to offer unique insights and knowledge to add value to her clients.
OFFICES
Suite 300 - 1055 West Hastings St. Vancouver, B.C., Canada, V6E 2E9
360 Central Avenue, Suite 845 St. Petersburg, Florida, USA 33701
We use cookies on our website. Some of them are essential for the operation of the site, while others help us to improve this site and the user experience (tracking cookies). You can decide for yourself whether you want to allow cookies or not. Please note that if you reject them, you may not be able to use all the functionalities of the site.
