Profile
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.
Expertise
Recognition
- Finalist in Australian Law Awards – Special Counsel of the Year – 2022
- Finalist in Women in Law Awards – Special Counsel of the Year – 2022
- Finalise in Women in Law Awards – Senior Associate of the Year (Big Law) – 2020
Recent deals and media coverage
- Piper Alderman takes team from EY – Lawyers Weekly, 17 July 2023
Memberships
- Member, Law Society of New South Wales
- ASIC Regulatory Guide 97: Fees and costs disclosure for superannuation funds and managed investment schemes Industry Working Group
Insights
28 September 2023
Stop! It’s Members’ Time: Amendments to SPS 515 Strategic Planning and Member Outcomes
Read More12 September 2023
‘Your Future, Your Super’: APRA’s superannuation performance test turns a spotlight on poor performance and...
Read More07 September 2023
FAR-GO!!!! The Financial Accountability Regime finally passes in Parliament
Read More01 September 2023
Updated CPS 511 introduces new remuneration disclosure requirements for APRA-regulated entities
Read More27 July 2023
The Financial Accountability Regime – The Kill(ed) Bill Vol.3: Staying alert in the face of...
Read More19 July 2023