On Demand: Trustee Tactics | In conversation with Dominique Hogan-Doran SC: Key regulatory and enforcement issues for super trustees

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.

Dominique Hogan-Doran, SC is a Senior Counsel of the Australian Bar. She blends her legal expertise with practical experience in corporate governance, risk management, and investments as a non-executive director and trustee.

Dominique conducts a diverse advice and advocacy practice. She acts in complex, high profile, and sensitive disputes and transactions on behalf of governments, regulators, corporations, and senior leaders.

Dominique is experienced in leading large scale cases involving issues of public importance. She acted for the Commonwealth in the Royal Commission into the Robodebt Scheme and was Senior Counsel Assisting the Royal Commission into National Natural Disaster Arrangements. She appeared for the Commonwealth Bank in the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry.

She accepts briefs directly from in-house lawyers, as well as appointments as a Commercial Mediator, Arbitrator, or Expert Determiner.

Dominique is a director of Natural Hazards Research Australia, the national centre for disaster risk and resilience research, and Australian Cricket’s retirement investment fund and Players Cordon charity. She is a past director of Club Plus Super (merged with AustralianSuper) and the Menzies Foundation, and a past President of Australian Women Lawyers and of the Women Lawyers Association of NSW.