Prior to joining ASIC, she was a Senior Adviser in the Department of the Prime Minister and Cabinet, and the Department of Education and Training. He holds a Bachelor of Applied Arts with Honours in Economics from the University of Waterloo (Canada), and a Master of Commerce and Management in International Business from University of Melbourne. Peng leads ASIC’s Licensing team which has primary responsibility for the assessment of applications relating to Australian Financial Services (AFS) licences, credit licences and auditors. Joanna is responsible for ASIC’s regulatory work in the credit, retail banking and payments, insurance, financial advice, investment management and superannuation sectors. David leads ASIC’s Wealth Management Enforcement – Major Financial Institutions team. Her 16 years of regulatory experience includes senior roles overseeing funds management, mergers and acquisitions, fundraising, corporate governance and supervising the ASX and other licensed financial markets. Laura began her career as a teacher and has a Bachelor of Education from Queen's University (Canada) and a Bachelor of Arts (Hons) from the University of Waterloo (Canada). Diana holds a Bachelor of Law (Hons) and a Bachelor of Arts from the University of Adelaide. He has previously held senior leadership roles in ASIC’s international strategy, consumer and strategic policy teams. The team engages closely with peer regulatory authorities and international organisations to develop international regulatory policy, coordinate international cooperation requests, and oversee the Asia Region Funds Passport (ARFP) and Corporate Collective Investment Vehicles (CCIV) projects. In this role, she oversees ASIC's significant market misconduct investigations and litigation. He has also held roles at the Reserve Bank of Australia, the Australian Treasury, the UK Financial Services Authority (now the Financial Conduct Authority) and Mitsubishi UFJ Securities in London. Laura is the ACT Regional Commissioner, leads ASIC’s Consumer Insights and Communications team, and oversees the Moneysmart platform. Thea has more than 30 years experience in insolvency and restructuring including senior positions in a multidisciplinary accounting practice and a specialist insolvency and restructuring firm, where she gained experience across international, national and SME markets. Jo was previously appointed to the international examinations board for the MSP, PRINCE2, P3O and Managing Benefits qualifications. Sean Hughes commenced as an ASIC commissioner on 1 December 2018, for a five-year term. Ged’s previous roles at ASIC include leading Investment Managers and Superannuation and earlier, Credit. Marita leads ASIC’s Wealth Management Enforcement team. Verify Doctor/Nurse Status. Thea is a registered liquidator, a Fellow of Chartered Accountants Australia & New Zealand (and former Regional Councillor and Chairperson for SA & NT), and a Professional Member of Australian Restructuring, Insolvency and Turnaround Association. As SEL of ASIC’s national CIU, she leads ASIC’s efforts to disrupt and mitigate the harm from organised crime in Australia's corporate and financial sectors. In this role, Thea also oversees ASIC’s administration of the Assetless Administration Fund including applications for winding up abandoned companies and appointment of reviewing liquidators. Andrew leads ASIC’s Strategic Policy team. We use our enforcement powers to detect and deal with unlawful conduct, to recover money Small business resources in other languages, Professional standards for financial advisers, Appointing and ceasing an AFS authorised representative, Applying for and managing your credit licence, Varying or cancelling your credit licence, Tips for applying for auditor registration, Applying for auditor or authorised audit company registration, Your ongoing obligations as a registered company auditor, Changing your auditor registration details, Self-managed superannuation fund (SMSF) auditors, Updating your details and submitting requests to ASIC, Your ongoing obligations as an SMSF auditor, Applying for and managing your liquidator registration, Your ongoing obligations as a registered liquidator, Changing or cancelling your liquidator registration, Registered liquidator transactions on the ASIC Regulatory Portal, Licensed and exempt clearing and settlement facilities, COVID-19 information – Managed investment schemes, Competition in the funds management industry, Superannuation guidance, relief and legislative instruments, Insolvency for investors and shareholders, Director oversight of financials and audit, Corporate actions involving share capital, Changes to how you lodge fundraising and corporate finance documents. The team also examines new market and clearing and settlement proposals. Natalie holds a Bachelor of Laws and has more than 25 years specialist experience as a corporate lawyer and regulator. In Natalie’s role as Senior Executive Leader (SEL), Enforcement WA, she oversees ASIC’s WA enforcement work in the financial services, credit, markets and corporations sectors. Represents POST Division Administrator at department and state level meetings and serves on departmental committees and work groups. Report this profile Experience Enforcement Officer ASIC Mar 2016 - Present 5 years 3 months. ... and their officers are held to account as important gatekeepers who … Before joining ASIC, Tim worked in private practice as a senior accountant. In this role, he oversees the leadership, management and strategic direction of ASIC’s investigations and proceedings relating to breaches of financial services and credit laws. How ASIC regulates financial services and products and what to do when you have a problem with your finances. In this episode of The ASIC Podcast with ASIC Deputy Chair Daniel Crennan QC, we explore ASIC’s Enforcement Update (January to June 2019), ASIC’s Office of Enforcement and work to strengthen ASIC’s enforcement effectiveness by accelerating court-based enforcement matters. Louise has more than 25 years experience in law and regulation and has previously held senior leadership roles in ASIC’s financial services, legal and enforcement teams. Seat yourselves out of the way of the general traffic flow in and out of the restaurant or cash register area. Corrs has previously discussed ASIC’s Corporate Plan 2019-23 (the article can be found here). Police Officer I, University Police Services [R0122001] University of Nevada, Las Vegas 4.1. Rhys has more than 20 years experience as a regulator, academic and public policy practitioner. Before joining ASIC, Amanda worked for the Australian Public Service Commission and the Department of Primary Industries and Energy. Since releasing the article, in the period until December 2019 ASIC has further developed its enforcement strategy for 2019-20 (Focus 2019-20). To be able to use the ASIC Careers Centre, you'll need to enable javascript on your browser. The range of enforcement actions and remedies available to ASIC has the capacity to cripple almost any business. The CRO team also focuses on stress testing the effectiveness of risk management systems and controls. Before joining ASIC, Claire was a solicitor with Gilbert + Tobin, working in the mergers and acquisitions area. Between 2012 to 2014, Mark undertook secondments at the Ontario Securities Commission as Principal Adviser, Financial System Inquiry Secretariat and as Director of Strategy, Research and Risk. Everything you need to know about the areas we regulate. Greg was also the manager of institutional and wholesale markets at the Australian Stock Exchange (now Australian Securities Exchange) where he implemented equity market structure changes and managed the operation of the market surveillance and investigation units. This program utilizes state commission mandated topics and methods of instruction. Tim is responsible for ASIC’s Financial Services Enforcement group. She also improved the quality of advice for SMSF owners and retail insurance providers. Jane Fan. Mark also leads ASIC's Innovation Hub and regtech initiatives. These six-monthly reports outline enforcement outcomes achieved by ASIC. The team is focused on helping small businesses understand and comply with their legal obligations under the Corporations Act. Check business name details are up to date, Request an alternative registration period for business name, Steps to transfer a business name to a new owner, Steps to register a business name with a transfer number, ASIC-initiated cancellation of business name.

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