ON DEMAND WEBINAR: Financial Services and FinTech Webinar Series | Fees and Costs Disclosure Under ASIC Regulatory Guide 97

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.

Ian has been involved in the super industry for about 25 years and has been with Chant West for more than 16 years. As General Manger, Ian has overall responsibility for all of Chant West’s research and consulting services.
Prior to becoming General Manager, Ian spent more than 15 years as the company’s Head of Research.

Paul joined Fiducian in August 2015 and has been instrumental in the strengthening and implementation of business initiatives, policies and procedures. As General Counsel & Company Secretary of the Fiducian Group and subsidiaries, Paul manages all legal, compliance and risk related issues which impact Fiducian Group’s activities.

Lisa-Marie is a leading superannuation and life insurance lawyer with extensive expertise in a broad range of matters impacting financial service providers across Australia and Asia Pacific.  Lisa-Marie advises a wide range of superannuation funds on all aspects of their operations and has specific experience assisting them with the highly technical aspects of their prudential regulation including data privacy, outsourcing, anti-money laundering and counter terrorism financing.

Over more than two decades, Lisa-Marie has also assisted a wide range of trustees of retail, industry and corporate superannuation funds with the complex aspects of mergers and successor fund transfers including equivalency analysis, insurance and investment transition and outsourcing succession and novation.

Lisa-Marie has assisted superannuation funds manage a key stakeholder in their business, its life insurer, by advising on a diverse range of matters including transition to the new design and distribution and breach reporting regimes and with complex renewal, premium adjustment and reinsurance negotiations.

Known for her strong industry profile, Lisa-Marie is regularly called upon by industry bodies the Association of Superannuation Funds of Australia (ASFA) and the Australian Institute of Superannuation Trustees (AIST) to present at conferences and with in-person and on-line training sessions.