ASIC senior leadership

Commission

Chair and Accountable Authority

Joseph Longo

Joe Longo commenced as ASIC Chair on 1 June 2021.

He has held senior leadership roles over four decades in corporate law, financial services, regulation and law enforcement, in Australia and some of the world’s most important financial markets.

He was the general counsel for Deutsche Bank in London and Hong Kong for 17 years, providing leadership across regulatory issues, governance, corporate law and non-financial risk.

Before that, Joe was the national director of enforcement at ASIC between 1996 and 2001, and responsible for the coordination and direction of all enforcement and litigation activities.

He has also been a senior adviser at Herbert Smith Freehills and earlier, a partner at Parker and Parker (now Herbert Smith Freehills).

Joe represents ASIC in key national economic and law enforcement forums including the Council of Financial Regulators, Australian Criminal Intelligence Commission Board, the Criminal Justice Law Enforcement Forum and the Serious Financial Crime Taskforce.

He is also a member of the Board of the International Organisation of Securities Commissions (IOSCO), the Asia Pacific Regional Committee of IOSCO, the Trans-Tasman Business Committee and the EU Asia-Pacific Forum.

Joe holds a Bachelor of Jurisprudence (Hons) and a Bachelor of Laws (Hons) from the University of Western Australia and a Master of Laws from Yale Law School.

Deputy Chair

Sarah Court

Sarah commenced as an ASIC Deputy Chair on 1 June 2021.

Prior to joining ASIC, Sarah was a Commissioner at the ACCC for three terms from May 2008 to May 2021. At the ACCC Sarah led the Commission’s enforcement and investigation work, and contributed extensively to strategic priority setting, statutory decision-making and leadership across the agency on a range of complex economy-wide legal and economic issues.

Prior to her time at the ACCC Sarah was a Senior Executive Lawyer and Director at the Australian Government Solicitor where she led national teams in government litigation including restrictive trade practices, competition and consumer law, administrative law, employment law and law enforcement litigation.

Sarah has held board positions with the Law School and Centre for Regulation and Market Analysis at the University of South Australia.

Sarah holds a Bachelor of Arts (Jurisprudence) and a Bachelor of Laws (Honours) from the University of Adelaide, as well as a Graduate Diploma in Legal Practice from the Australian National University. She is a Fellow of the Australian Institute of Company Directors.

Appointment as Deputy Chair, Treasurer’s media release, 29 April 2021.

Commissioner

Simone Constant

Simone commenced as an ASIC Commissioner for a five-year term on 20 November 2023.

She has more than 25 years’ experience in financial services, markets, legal services and risk management.

Most recently, Simone was the Chief Risk Officer (CRO), Institutional Bank and Markets at the Commonwealth Bank of Australia. Simone has also held CRO roles at the National Australia Bank in the corporate, institutional and consumer banks.

She held senior NSW Government positions with the NSW Departments of Treasury, Finance and Education, where she specialised in financial, commercial and risk management.

Simone has also held senior roles in Australia, the United States and the United Kingdom at multinational investment, capital management and law firms.

She holds Bachelor’s degrees in Economics and Law from the University of Sydney.

Appointment as Commissioner, Treasurer’s media release, 25 August 2023.

Commissioner

Alan Kirkland

Alan commenced as an ASIC Commissioner for a five-year term on 20 November 2023.

He has more than 20 years experience in consumer protection, social services, law reform and justice in the public and not-for-profit sectors.

Most recently, Alan was the CEO at CHOICE where he represented the interests of Australian consumers for more than 11 years.

Earlier, Alan was the Executive Director of the Australian Law Reform Commission, the CEO of Legal Aid New South Wales, Chair of the National Legal Assistance Advisory Body, and Executive Director of the NSW Council of Social Service.

From 2016 to 2017, Alan was a member of the panel for the Ramsay Review, which led to the establishment of the Australian Financial Complaints Authority and Compensation Scheme of Last Resort.

He holds degrees in Arts and Law from the University of NSW, an Executive MBA from the Australian Graduate School of Management, and is a Graduate of the Australian Institute of Company Directors.

Appointment as Commissioner, Treasurer’s media release, 25 August 2023.

Commissioner

Kate O’Rourke

Kate commenced as an ASIC Commissioner for a five-year term on 11 September 2023.

She has more than 25 years experience in law and regulation across financial services, markets, and corporations.

Kate joined ASIC from Treasury, where she held senior leadership positions with responsibility for data and digital economic reforms, COVID economic policy responses, small business policy and regulatory frameworks governing market conduct.

Kate previously held senior executive roles at ASIC with responsibility for corporate transactions and governance, and practised in the Sydney and New York offices of the law firm Sullivan and Cromwell.

She holds Bachelor’s degrees in Economics (Social Science) and Law from the University of Sydney, a Master of Laws from the New York University School of Law, and an Executive Master of Public Administration from the University of New South Wales.

Appointment as Commissioner, Treasurer’s media release, 25 August 2023.

CEO group

Senior Executive Adviser to the CEO

Shelley Denniss

Shelley is responsible for providing strategic and operational support to the CEO in the delivery of ASIC’s long-term organisational planning and strategy. Shelley has more than 20 years experience across finance, operations and governance, and most recently was ASIC’s Chief Internal Auditor. Before joining ASIC Shelley was the CFO for Dakota Capital and Axle Capital and held senior finance and operational roles in the financial services sector. She is a chartered accountant and holds a Bachelor of Commerce (hons).

Chief Internal Auditor

Lisa Berwick

Lisa Berwick leads ASIC’s Internal Audit function. She is responsible for ensuring that ASIC’s internal audit plan is designed and executed to provide adequate assurance over ASIC’s risk universe. Lisa has more than 25 years experience across internal audit, financial statement audit, enterprise-wide risk frameworks, fraud risk management, and investigations.

Before joining ASIC, Lisa was a member of the leadership team at the Audit Office of NSW where she was responsible for signing the Statutory and Independent Audit Opinions of more than 20 NSW Government entities, including as the Group Auditor for NSW Health. She has also previously held senior roles at EY and the Australian National Audit Office.

Lisa is a chartered accountant, CPA, and a Certified Fraud Examiner. Her qualifications include a Bachelor of Economics (Accounting) from The University of Sydney, a Graduate Certificate in Fraud Investigations from Charles Sturt University and a Certificate IV (Government Investigations). Lisa is a graduate of the Institute of Company Directors and a member of the Institute of Internal Auditors.

Chief Risk Officer

Zack Gurdon

As Chief Risk Officer, Zack is responsible for ASIC’s enterprise risk management and compliance frameworks, integrity and fraud management program (including Speak Up), protective security and business resilience arrangements. Most recently, Zack was General Manager, Group Risk, Compliance and Resilience with NBN. Prior to this he spent 12 years with Telstra in a range of senior risk and security leadership roles. He holds a Bachelor of Science (Honours) and a Master of Security Management. He is also a graduate of the Australian Institute of Company Directors.

Registry and Intelligence

Senior Executive Leader, Registry Operations

Liesl McKay

Liesl leads ASIC’s Registry Operations function, overseeing the transition of the ASIC business registers and functions from the Australian Taxation Office (ATO) to ASIC.

Prior to this, Liesl held roles as ASIC’s Senior Executive Specialist, Modernising Business Registers Program, Senior Executive Leader, Registry and Senior Executive, Registry Transformation, leading major law and technology reform programs to ASIC’s Registry business.

Liesl has more than 25 years of experience in senior leadership roles in regulation, service delivery, program delivery and business transformation. She holds a Bachelor of Business from Monash University, a Graduate Diploma in Organisational Behaviour from Swinburne Institute of Technology and is a graduate of the Australian Institute of Company Directors.

Senior Executive Leader, Regulatory Insights and Assessment

Peter Witham (Acting)

Peter Witham leads ASIC’s Regulatory Insights and Assessment team, which registers and assesses all reports of misconduct, breach notifications and reports from registered liquidators. He also leads our Office of the Whistleblower, ensuring we record and assess the whistleblower disclosures we receive, and communicate with whistleblowers. As the head of ASIC’s national Criminal Intelligence Unit, Peter leads ASIC’s efforts to disrupt and mitigate the harm from organised crime in Australia's corporate and financial sectors.

Peter has worked in the Regulatory Insights and Assessment space since 2004, having joined ASIC from private legal practice. He led ASIC’s Property Law and Unclaimed Monies function between 2010 and 2014. Peter holds a Bachelor of Law and a Bachelor of Commerce from Griffith University.

Senior Executive Specialist, Strategic Planning and Intelligence

Mark Adams

Mark leads ASIC’s Strategic Planning and Intelligence team, within the Intelligence and International group.

He is ASIC’s Regional Commissioner for New South Wales and also leads ASIC’s Strategic Planning and Intelligence (SP&I) including ASIC’s Innovation Hub and Regulatory Efficiency functions. SP&I leads ASIC strategic prioritisation work. The Innovation Hub provides practical support to start-ups and scale-ups as they navigate Australia’s financial regulatory framework. ASIC’s Regulatory Efficiency work seeks to identify unnecessary frictions and minimise the costs of regulatory requirements.

Mark has held a range of senior executive positions at ASIC, including lead of Strategic Intelligence, lead of ASIC's competition in equity markets project and the Exchange Market Operators, Regulatory Policy and International teams. Between 2012 to 2014, he undertook secondments at the Ontario Securities Commission as Principal Adviser, Financial System Inquiry Secretariat and as Director of Strategy, Research and Risk. Prior to joining ASIC, Mark worked in the corporate and superannuation areas of a national law firm.

Senior Executive Specialist, International

Gerard Fitzpatrick

Gerard (Ged) is responsible for International at ASIC. The team engages closely with peer regulatory authorities and international organisations to develop international regulatory policy and coordinate international cooperation requests. In this role, Ged has led across a range of international regulatory, economic and risk issues, developed innovative cooperation arrangements and provided capacity building initiatives. Ged’s previous roles at ASIC include leading Investment Managers and Superannuation and earlier, Credit.

Before joining ASIC, Ged led policy and government relations at the Financial Planning Association of Australia and held senior leadership roles at the Institutional Money Market Funds Association and Investment Management Association in London. Ged's previous regulatory roles included markets and international responsibilities at the UK FSA (precursor to the FCA) and international economic analysis and prudential supervision at the Bank of England. An economist by training, Ged also taught economic and business-related topics at universities in the UK.

Senior Executive Leader, Strategic Projects

Jane Eccleston

Jane provides strategic leadership across a range of complex cross-ASIC projects. Jane has held a range of senior positions at ASIC, most recently Acting Executive Director, Regulation and Supervision and prior to that Senior Executive Leader, Superannuation and Life Insurance. Her many years of regulatory experience includes senior roles overseeing superannuation, funds management, mergers and acquisitions, fundraising, corporate governance and supervising the ASX and other licensed financial markets. Before joining ASIC, Jane was a lawyer in private and corporate practice including at Mallesons Stephen Jaques. She holds honours degrees in Law and Psychology from the University of Sydney.

Regulation and Supervision

Senior Executive Leader, Superannuation and Life Insurance

Pippa Lane (Acting)

Pippa leads ASIC’s Superannuation and Life Insurance team within ASIC’s Regulation and Supervision group. She oversees ASIC’s regulatory work associated with the life insurance and superannuation industries.

Senior Executive Leader, Credit, Banking and General Insurance

Nathan Bourne

Nathan leads ASIC’s Credit, Banking and General Insurance team, which is within ASIC’s Regulation and Supervision group. Nathan’s team has primary responsibility for the supervision of general insurance providers, retail banking, credit intermediaries (including mortgage brokers), consumer and small business credit, and electronic payments. He also oversees ASIC’s Indigenous Outreach Program.

Previously, Nathan was ASIC’s Senior Executive Leader for Market Infrastructure and he also held senior roles in the Market Supervision team.

He has more than 20 years experience in financial markets, regulation and public policy. Most recently, Nathan was the Director of Wholesale Compliance at the National Australia Bank. He has also held roles at the Reserve Bank of Australia, the Australian Treasury, the UK Financial Conduct Authority and Mitsubishi UFJ Securities in London. Nathan holds a Bachelor of Economics (Honours) and a Graduate Diploma in Applied Finance and Investment.

Senior Executive Leader, Financial Advice and Investment Management

Leah Sciacca

Leah leads ASIC’s Financial Advice and Investment Management team within the Regulation and Supervision group. The team oversees the regulatory work associated with financial advisers, advice licensees, managed investment schemes, wholesale funds, platforms and managed discretionary accounts. Prior to this role, Leah was ASIC’s Senior Executive Leader, Financial Advisers.

Leah has more than 13 years of regulatory experience and has worked on significant policy and enforcement initiatives. Leah is focused on improving access to good quality affordable advice and working to address conduct in the advice and investment management sectors that leads to poor consumer outcomes. Prior to joining ASIC, Leah was a practising financial adviser for over 10 years, representing several Australian financial services licensees and providing personal advice to retail clients. Leah holds a degree in Business from the Queensland University of Technology as well as a Graduate Diploma of Applied Corporate Governance.

Senior Executive Leader, Companies and Small Business

Claire LaBouchardiere

Claire leads the Companies and Small Business team within ASIC’s Regulation and Supervision group. She is responsible for the regulation and supervision of companies and small business, with a focus on corporate governance and disclosure, financial reporting and audit quality, conduct of registered liquidators, and engagement with the small business sector. Claire is also responsible for leading ASIC’s work in relation to sustainable finance.

Claire’s previous role at ASIC was Senior Executive Leader, Corporations. Before working at ASIC, she was a solicitor with Gilbert and Tobin, working in the mergers and acquisitions area. Claire has more than 20 years experience in corporate law and regulation, and holds a Master of Laws from the University of Sydney, and a Bachelor of Laws and a Bachelor of Commerce from the University of Sydney.

Senior Executive Specialist, Companies and Small Business

Thea Eszenyi

Thea is a regulator with deep experience in insolvency and restructuring. She is responsible for strategic and technical oversight of ASIC’s regulation of liquidators and auditors through risk-based surveillance and compliance projects, and for contributions to ASIC’s policy and law reform responses.

Prior to working at ASIC, Thea held senior positions in a multidisciplinary accounting practice and a specialist insolvency and restructuring firm, with broad experience across international, national and SME markets. Her previous roles at ASIC were in leading ASIC’s Registered Liquidators and Financial Reporting and Audit teams.

Thea is a registered liquidator, and a Fellow of Chartered Accountants Australia and New Zealand (and was formerly their Regional Councillor and Chairperson for SA and NT), and a Fellow of the Australian Restructuring, Insolvency and Turnaround Association.

Senior Executive Leader, Strategic Surveillance and Data

Suneeta Sidhu

Suneeta leads ASIC's Strategic Surveillance and Data team within the Regulation and Supervision group. She is responsible for running complex and cross sectoral surveillances and leading and implementing the data strategy for the Regulation and Supervision group. Suneeta’s previous role at ASIC was Chief Supervisory Officer, Institutional Supervision (formerly known as the Close and Continuous Monitoring team), where she oversaw ASIC’s institution-wide supervision of financial services organisations with the greatest potential impact on consumers.

Suneeta has more than 25 years of legal and regulatory experience including senior roles at ASIC overseeing corporate governance, fundraising and mergers and acquisitions. She has previously held the role of Senior Executive Leader of the Governance team. Before joining ASIC, Suneeta worked in the corporate teams of Gilbert and Tobin, and Sly and Weigall (now Norton Rose Fulbright). She has also worked as in-house legal counsel at Westpac Banking Corporation. Suneeta holds a Bachelor of Laws (Hons) and Bachelor of Arts degrees from the University of Sydney.

Senior Executive Leader, Regulatory Reform and Implementation

Kate Metz

Kate leads ASIC’s Regulatory Reform and Implementation team, which is within ASIC’s Regulation and Supervision group.

Kate was previously ASIC’s Senior Executive Leader, Investment Managers, where she oversaw the regulatory work associated with managed investment schemes, wholesale funds, platforms and managed discretionary accounts.

Kate has more than 20 years of regulatory experience and has worked on significant policy and enforcement initiatives. Prior to this, she was Senior Executive Leader of ASIC’s Financial Advisers team, which regulates Australia’s multi-billion-dollar financial advice industry. During this time, Kate oversaw a number of key projects including unmet advice needs, life insurance advice, advice provided by superannuation funds and advice to set up self-managed superannuation funds. Before joining ASIC, Kate worked as a solicitor in private legal practice, specialising in corporate finance. She has honours degrees in Law and Arts from the University of Melbourne.

Senior Executive Leader, Licensing

Peng Lee

Peng leads ASIC’s Licensing team within the Regulation and Supervision group. The Licensing team has primary responsibility for the assessment of applications relating to financial services licences, credit licences and auditors, and ensuring that only those that meet the statutory requirements are granted a licence. Peng was previously the Senior Manager of Licensing at ASIC and has also held senior roles in ASIC’s applications and advice and Corporations teams.

Before joining ASIC, Peng worked in a number of legal roles including at the Australian Securities Exchange (ASX) and Mallesons Stephen Jaques. Peng holds a Bachelor of Laws, Bachelor of Economics (Hons) and a Master of Law and Management.

Markets

Senior Executive Leader, Market Infrastructure

Ben Cohn-Urbach

Ben leads ASIC’s Market Infrastructure team within ASIC’s Markets group. His team is responsible for clearing and settlement, securities and derivatives markets, and co-ordinating ASIC's supervisory cyber and operational resilience work. Ben’s portfolio is responsible for the supervision of Australian market licensees and operators, clearing and settlement facilities, Australian derivative trade repository operators, benchmark administrators and credit rating agencies.

Ben has extensive experience at ASIC, including in strategic planning, intelligence and regulatory efficiency. He has held previous roles in the Market Infrastructure and Market Supervision teams, including as Group Senior Manager for Market Conduct in Market Supervision. 

Ben previously worked in the United States for the Futures Industry Association, a global trade organisation for the futures, options and centrally cleared derivatives markets, and for the United Kingdom Financial Conduct Authority, focusing on over-the-counter derivatives market reforms. Ben started his career as a supervisor at the Australian Prudential Regulation Authority. He has a Bachelor of Commerce (Hons) from the University of Sydney and a Masters in Finance from the London School of Economics and Political Science.

Senior Executive Leader, Market Integrity

Amanda Zeller

Amanda leads the Market Integrity team, which is responsible for the regulation and supervision of corporate finance transactions and markets surveillance. This includes overseeing listed companies’ conduct and disclosure in public capital raisings, and mergers and acquisitions, as well as leading ASIC’s work in derivatives and equities surveillance.

Amanda has held other senior roles at ASIC including leading the Supervisory Cyber Resilience Program for ASIC regulated entities. She holds a Bachelor of Commerce and is a member of CPA Australia.

Senior Executive Leader, Market Conduct

Andrew Templer

Andrew leads the Market Conduct team, which supervises the conduct of exchange and OTC market intermediaries, including market participants, investment banks, securities dealers and issuers of OTC products. The Market Conduct team is also responsible for administering markets regulation, including the market integrity rules.

Andrew has 20 years experience in financial services and regulation, including previous roles in law and derivative structuring. He holds a Bachelor of Commerce and Bachelor of Laws.

Senior Executive Leader, Markets Enforcement

Molly Choucair

Molly leads ASIC’s Markets Enforcement team, within ASIC’s Markets group. She oversees ASIC’s enforcement focused on maintaining the integrity of Australia’s financial markets, including offences relating to insider trading, market manipulation and continuous disclosure.  

Molly has extensive regulatory enforcement and litigation experience and has previously worked in several senior roles for the Australian Competition and Consumer Commission, and was a senior lawyer for the Royal Commission into Institutional Responses to Child Sexual Abuse. Molly holds a Bachelor of Arts (Distinction) and Bachelor of Laws.

Senior Executive Leader, Digital Assets

Dr Rhys Bollen

Rhys leads ASIC’s Digital Assets team within the Markets group. He leads the team overseeing crypto and digital assets firms, including preparing for the Government’s proposed law reform in this area. He is also responsible for ASIC’s broader work on digital finance and tokenisation.

His previous roles at ASIC include Senior Executive Leader of the Market Supervision team, Credit, Banking and General Insurance team, the Insurers team and the Investment Managers team. Rhys has also held senior leadership roles at ASIC in the areas of international strategy, consumer protection, and strategic policy.

Rhys has more than 25 years experience as a regulator, academic and public policy practitioner. Before joining ASIC, he was an Executive Director at the NSW State Insurance Regulatory Authority, and Assistant Commissioner for Policy and Strategy at NSW Fair Trading. He has also worked in private legal practice. Rhys has a PhD in financial services regulation and Master degrees in both law and business.

Enforcement and Compliance

Senior Executive Leader, Enforcement Inquiries and Compliance

Tom O’Shea

Tom leads the Enforcement Inquiries and Compliance team within the Enforcement and Compliance group. The team undertakes early inquiries into allegations of misconduct and implements compliance outcomes. It also refers serious misconduct to the Investigation and Enforcement Action teams for further investigation.

Tom has spent more than 20 years working at federal regulatory agencies in operations and enforcement. Predominantly working across the employment and workplace relations portfolios, he has held senior leadership positions in operational, policy and corporate roles.

Immediately prior to joining ASIC in September 2023, Tom led corporate services for Australia’s workplace relations regulator, the Fair Work Ombudsman, where he also held the positions of Chief Risk Officer, Chief Security Officer and for more than 10 years was a Senior Executive Specialist.

Tom has experience in leading teams through change and transformation projects, and professional skills in data-driven and intelligence-led regulation.

Senior Executive Leader, Enforcement and Compliance, Portfolio Executive

Marita Hogan

Marita is ASIC’s national portfolio lead for enforcement and compliance for the Superannuation, Life Insurance, Investment Management and Financial Advice sectors. She also leads delivery of a range of ASIC enforcement priorities including ESG and greenwashing enforcement action. Marita heads up a group of Senior Specialists and is responsible for the Enforcement and Compliance group’s national Business Management Unit.

Previously, Marita was ASIC’s Senior Executive Leader, Financial Services Enforcement, leading the Wealth Management Enforcement team. In this role, she oversaw ASIC’s enforcement work in the superannuation and investment management sectors and built ASIC’s enforcement pipeline for the superannuation sector following the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry. Marita has previously held senior roles in a number of ASIC teams, including Financial Services Enforcement, the Wealth Management project team, Corporate Governance and Financial Advisers. Most recently, Marita has been leading ASIC’s ESG greenwashing enforcement actions as well as ASIC’s enforcement pipeline for design and distribution obligations.

Before joining ASIC, Marita was a Senior Associate at major national law firm. She has more than 20 years experience in regulation, enforcement and the law, and holds a Bachelor of Laws (Hons) and Bachelor of Arts (Hons).

Senior Executive Leader, Portfolio Executive, Investigation and Enforcement Action

David McGuinness

David leads one of ASIC’s five Investigation and Enforcement teams within the Enforcement and Compliance group. He is responsible for the investigation of suspected misconduct and enforcement action across ASIC’s remit, excluding financial markets misconduct. David is also the Senior Executive responsible to the Commission for the ASIC Scams Strategy.

David was previously ASIC’s Senior Executive Leader, Financial Services Enforcement. In this role, he oversaw ASIC’s enforcement work in relation to misconduct in the financial services and wealth sectors. David also led ASIC’s investigations and enforcement actions arising from the Financial Services Royal Commission. For a number of years he was ASIC’s representative on the IOSCO Enforcement Committee 4. David has served in several roles including as ASIC’s Director of Enforcement for NSW and the ACT.

Prior to joining ASIC, David was a senior partner of Blake Dawson Waldron (now Ashurst) in its litigation and dispute resolution practice and held several senior leadership positions. He has more than 40 years of legal practice and regulatory experience and holds a Bachelor of Laws from the University of Sydney.

Senior Executive Leader, Investigation and Enforcement Action

Brendan Caridi

Brendan leads one of ASIC’s five Investigation and Enforcement teams within the Enforcement and Compliance group.

Brendan was previously ASIC’s Senior Executive Leader, Corporations and Corporate Governance Enforcement where he oversaw enforcement action associated with corporations, corporate governance, insolvency practitioners, auditors, financial reporting and the whistleblower regime.

Brendan has more than 20 years of experience in investigations, enforcement and litigation, holding a Bachelor of Laws and a Bachelor of Economics.

Senior Executive Leader, Investigation and Enforcement Action

Chris Rowe

Chris leads one of ASIC’s five Investigation and Enforcement teams within the Enforcement and Compliance group.

Chris has held various roles at ASIC, including most recently as a Group Senior Manager in both Financial Services Enforcement and the Markets Enforcement Group. His experience includes investigation and litigation in matters across the financial services sector including superannuation, managed investments, insurance, and credit. Prior to joining ASIC, Chris was a lawyer in private and government practice. He holds a Bachelor of Laws and Bachelor of Arts from the University of New South Wales.

Senior Executive Leader, Investigation and Enforcement Action

Wendy Endebrock-Brown

Wendy leads one of ASIC’s five Investigation and Enforcement teams within the Enforcement and Compliance group. She oversees ASIC’s enforcement work in the financial services, credit, markets and corporations sectors in Western Australia. Wendy’s previous role at ASIC was Senior Executive Leader, Enforcement WA.

Prior to joining ASIC, Wendy held the position of Director, Legal Services at the Corruption and Crime Commission (WA) and before that, she worked at the Australian Government Solicitor as a Senior Executive Lawyer. She specialises in government legal and law enforcement work and holds a Bachelor of Laws (Hons) from the University of Western Australia.

Senior Executive Leader, Investigation & Enforcement Action

Natasha Haslam (Acting)

Natasha leads one of ASIC’s five Investigation and Enforcement teams in the Enforcement and Compliance Group. Natasha has held various roles at ASIC, including most recently as a Group Senior Manager, Financial Service Enforcement. Her experience includes more than 16 years at ASIC in investigation and litigation across the financial services and corporate sectors. Prior to joining ASIC, Natasha was a commercial litigation lawyer in private practice. She holds a Bachelor of Laws and Bachelor of Economics from the University of Adelaide.

Senior Executive Leader, Chief Investigator and Portfolio Executive

Brett Crawford

Brett leads the Small Business Enforcement portfolio, which is one of ASIC’s five Investigation and Enforcement teams within the Enforcement and Compliance group.

Brett has held various other roles at ASIC, including most recently as a Senior Manager in the Markets Enforcement group, where he oversaw complex investigations. His experience includes investigations across various sectors including audit misconduct, corporations, corporate governance, financial reporting and financial services.

Prior to joining ASIC, Brett was a police officer with the Queensland Police Service for 16 years and worked for a number of years with the Australian Taxation Office, investigating tax evasion. He holds a Master of Arts in Fraud and Financial Crime from Charles Sturt University and a Graduate Diploma in anti-money laundering and counter-terrorism financing. 

Senior Executive Leader, Enforcement Services

Amanda Dixon

Amanda leads the Enforcement Services team, within ASIC’s Enforcement and Compliance group. She is responsible for delivering enabling services for the enforcement and surveillance teams in ASIC. Her unit includes the Evidence Services, Enforcement Data and Forensic Accounting teams.

Amanda was formerly ASIC’s Senior Executive Leader, Enterprise Services, managing security services, property and facilities management, travel, intelligence, records management and information resources and research. In this role, Amanda also oversaw ASIC’s digital working strategy, specialist forensic accounting, computer forensics and e-discovery, evidence management and knowledge management. Previously, she was a Senior Executive in ASIC’s human resources team.

Amanda has more than 15 years experience in senior leadership roles in government agencies, human resources and industrial relations. Before joining ASIC, Amanda worked for the Australian Public Service Commission and the Department of Primary Industries and Energy.

Senior Executive Specialist, Enforcement Digital Transformation

Karl Wong

Karl leads the Enforcement Digital Transformation team within the Enforcement and Compliance group. Karl and his team is responsible for developing the Digital and Data Strategy for Enforcement, and the strategic management and oversight of key Enforcement Digital and Data projects. These efforts will enhance ASIC's use of data, intelligence and technology to inform and streamline compliance, investigation and enforcement activities to improve consumer outcomes. Previously Karl held leadership roles in other ASIC programs including the Regulatory Transformation Program, and the ASIC Digital Transformation Program.

Karl has more than 20 years of technology experience across a number of industries including Government, Finance & Banking, Real Estate, and Media & Publishing, including leadership roles specialising in business-technology strategy, technology architecture and transformation delivery.

Senior Executive Leader, Specialist Investigations

Catherine Iles

Catherine leads a specialist investigations team within the Enforcement and Compliance group which investigates suspected misconduct and takes enforcement action across ASIC’s remit.

Previously, Catherine was a Senior Executive Leader in the Financial Services Enforcement (FSE) team. The FSE team took enforcement action in relation to breaches of the Corporations, ASIC and Credit Acts by financial services entities in the credit, retail banking, and insurance sectors. Catherine has acted as Senior Executive Leader for Enforcement WA and ASIC’s Criminal Intelligence Unit and held roles in ASIC's Markets Enforcement team. Prior to joining ASIC, Catherine worked as a litigation lawyer at the Australian Government Solicitor and in private practice. She holds a Bachelor of Laws (with Honours) and Bachelor of Commerce (Accounting) from the University of Adelaide.

Legal Services

Deputy General Counsel, Corporate Legal Services

Jeff Derix

Jeff Derix is ASIC’s Deputy General Counsel – Corporate Legal Services, and has over 20 years of legal advisory experience specialising in procurement, commercial, corporate and information / technology law across both the private and public sectors. Jeff’s most recent role was with Services Australia where he was their Chief Counsel, managing the agency’s legal services division and where he was a member of the agency’s senior executive team. Prior to joining Services Australia, Jeff was a partner of the national law firm, Maddocks specialising in commercial law, contracting, procurement, corporate governance and probity.

Deputy General Counsel, Enforcement Legal Services

Conrad Gray

Conrad Gray is ASIC’s Deputy General Counsel – Enforcement Legal Services, overseeing the Civil Litigation, Criminal Practice, and Administrative Law teams. This follows his tenure as Special Counsel – Civil Litigation since 2015, where he led the Civil Litigation team. Conrad has also, during his time at ASIC, filled the roles of Commission Counsel (2 years), Litigation Counsel (6 years) and senior lawyer in Enforcement (5 years). Prior to joining ASIC, Conrad worked in civil litigation for 8 years at the Legal Aid Commission of NSW and community legal centres.

Deputy General Counsel, Regulatory Legal Services

Jennifer Dolphin (Acting)

Jen is Acting Deputy General Counsel – Regulatory Legal Services.

In this role Jen leads ASIC’s Regulatory Legal Services team, which is responsible for providing legal services to support ASIC’s non-enforcement regulatory activities. This includes legal services relating to high risk or high complexity regulatory legal matters, legislative instruments, law reform and new areas of regulatory responsibility for ASIC. The team includes ASIC’s Property Law and Registry Interactions and Services functions.

Jen is currently responsible for leading the Machinery of Government change to transition registry functions from the ATO to ASIC.

Jen has more than 18 years of legal and regulatory experience in a variety of roles at ASIC, including as a senior lawyer specialising in financial markets regulation. Before joining ASIC, Jen worked as a financial intelligence analyst for the Australian Transaction Reports and Analysis Centre (AUSTRAC) and as a legal editor in both London and Sydney. Jen has a Bachelor of Science and a Bachelor of Law (Hons) from the University of Sydney.

Senior Executive Leader, Registry Interactions and Services

Kristina Penny (Acting)

Kris is Acting Senior Executive Leader, Registry Interactions and Services.

In this role Kris leads the Registry Interactions and Services (RIS) team, which is responsible for providing a range of legal, regulatory and operational services to support ASIC’s registry functions.

The services provided by RIS include:

• Register support functions for ASIC’s companies and professional registers, including transaction assessment and processing and management of compliance programs.
• Specialised legal and policy advice to support day-to-day registry operations and projects and programs of work impacting registry operations.
• Providing operational support to registry operations as required.
• Managing ASIC’s relationship with the ATO during the transition of registry functions from the ATO to ASIC.

Digital, Data and Technology

Senior Executive Leader, Chief Technology Office

Mark Pearce

As the Chief Technology Officer, Mark leads the Information Technology team, which is within ASIC’s Digital, Data and Technology group. He is responsible for technical leadership into the future state technical strategy, focussing on increasing technology capability that supports government reform, improving user experience through innovation, providing core technology services and ensuring ASIC is cyber resilient. Previously, as ASIC’s Chief Information Officer, Mark oversaw the information technology strategy and operations and was responsible for the supply of technology solutions and services to ASIC, internally and externally. Before that, he was ASIC’s Head of Infrastructure Services.

Prior to joining ASIC, Mark worked across various verticals including finance, transport and logistics, and retail sectors in a range of roles in strategy, cloud, end user computing and IT infrastructure. Mark holds a Bachelor of Electrical Engineering from the University of Wollongong and qualifications from the Securities Institute of Australia in Applied Finance and Economics.

Senior Executive Leader, RegistryConnect

Paul Franklin

Paul leads ASIC’s RegistryConnect program, which has been established to deliver the stabilisation and targeted uplift of ASIC’s business registers. This program is pivotal to securing our economic infrastructure, ensuring it operates with efficiency, reliability and forward-looking resilience. The program unites teams across multiple domains including external engagement, law and policy design, and technology and data teams to achieve its objectives.

Senior Executive Specialist, RegistryConnect Program Integration and Technology

Michael McCulloch

Michael is the senior IT Supplier on ASIC’s RegistryConnect program, a team within the Digital, Data and Technology group. In this role, he is responsible for ensuring that all IT requirements across the program are successfully delivered. His previous role at ASIC was as Senior Executive Specialist, IT Service Delivery, with responsibility for all of ASIC’s IT systems, applications and IT Security.

Before joining ASIC, Michael was a Senior Executive at IBM Australia, having also held roles there as Service Delivery Manager, Project Manager and Asia Pacific Data Centre Manager.

Senior Executive Specialist, Digital Delivery

Gethin Constable

Gethin leads ASIC’s Digital Delivery within the Digital, Data and Technology Group. He is responsible for delivery of a range of digital programs across ASIC’s regulatory and registry environments.

Prior to joining ASIC, Gethin worked in a number of private and government organisations including the Digital Transformation Agency. His most recent role was with Avanade where he led the Public Sector Advisory Practice across the Asia-Pacific.

Communications and Corporate Affairs

Finance

Program Director, Enterprise Resource Planning

Mitch Frost

Mitch leads ASIC's Enterprise Resource Planning program, overseeing the modernisation of ASIC’s financial and human resource systems. Mitch has over 20 years experience spanning private and public sectors, both domestically and internationally, having previously supported numerous system implementations and technology driven transformations as well as managing the complex change management processes that accompany these projects. His previous roles include Chief Financial Officer of the Australian National Audit Office, Partner of a financial advisory firm and Director of Financial Services of the Australian Sports Commission.

Mitch holds a Bachelor of Accounting as well as a Bachelor of Information Technology, and has a passion for using technology to improve the ways we work.

Senior Executive Leader, Procurement

Fleur Edgerton

People and Development

Regional Commissioners

ASIC’s Regional Commissioners are our local ambassadors, promoting ASIC initiatives and engaging with regional communities.

Region	Regional Commissioner
Queensland	Angela Pascoe
Victoria	Tom O’Shea
Tasmania	Alex Purvis
Western Australia	Rhian Richards
South Australia	Natasha Haslam
Australian Capital Territory	Peter Dunlop
Northern Territory	Duncan Poulson
New South Wales	Mark Adams