ON DEMAND: Financial Services and FinTech Webinar Series | Navigating Superannuation’s Changing Regulatory Landscape

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.

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.

Kerry is a financial services lawyer with significant experience in a broad range of financial services matters including superannuation, prudential regulation, regulatory compliance, data privacy, outsourcing, corporate governance and anti-money laundering and counter-terrorism financing.

Kerry advises financial services clients on varied issues including those in relation to superannuation, insurance, trust and corporate law, RSE licence obligations, including the trustee obligations under the Superannuation Industry (Supervision) Act 1993 (Cth), AFS licence obligations, covering general conduct obligations under the Corporations Act 2001 (Cth), client review and remediation conducted by AFS licensees, with a particular focus on ASIC RG 256, governance structures, including conflicts management processes, and legal review and gap analysis of Part A and Part B of anti-money laundering and counter-terrorism financing programs.

Kerry is a regulator contributor to the Association of Superannuation Funds of Australia’s (ASFA’s) continuing professional development publications for superannuation trustees, SuperCPD and SuperCPD Trustee, on topical regulatory issues such as upcoming regulatory reforms, cloud outsourcing, fraud, anti-money laundering and counter-terrorism financing and APRA Prudential Standard SPS 515 Strategic Planning and Member Outcomes.