Biography
Kate works across corporate governance, financial services regulation and complex investigations. She advises private and public sector clients on corporate and commercial issues, and on compliance and enforcement in financial, capital and credit markets, prudential supervision, competition, taxation and takeovers.
Her work includes acting in complex, multi-party commercial or regulatory litigation, managing complex engagements with ASIC, APRA, ACCC and ATO on corporate deals, restructurings and investigations, licensing, AML/CTF obligations and probity reviews for regulators.
She brings strong in-house and regulatory insight. Kate has served as general counsel for ASX-listed companies, chief legal adviser to ASX Investigations & Enforcement, and head of compliance at UBS AG on secondment. She worked as General Counsel and company secretary at the Financial Adviser Standards and Ethics Authority, helping to set professional standards for the financial services sector.
Kate has played a central role in national regulatory reform. She chaired the ASIC Enforcement Review Taskforce and the Government's expert panel on corporate whistleblowing. She led Federal Treasury reforms on whistleblowing, collective investment vehicles and regulation of cross-border asset fund sale and distribution, which included representation of Australia in multilateral negotiations to establish the Asia Region Funds Passport.
She is an experienced company director, having served on ASX-listed and not-for-profit boards, including audit, risk, remuneration and nominations committees.
Kate's experience
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EML Payments
Advised the Managing Director and CEO in addressing serious governance issues and led urgent Federal Court action seeking orders to require the company to call a shareholders' meeting to remove the conflicted directors from the Board. -
AIMS Fund Management Group
Defended several Takeovers Panel proceedings involving allegations of unacceptable circumstances and breach of statutory creep provisions relevant to the control of ASX and Singapore stock exchange listed APW fund. -
Dexus
Advised underlying investors in a dispute with Australia Pacific Airports Corporation involving alleged misuse of confidential information in a share sale process and related Federal Court proceedings. -
PwC
Advised the governance board members in relation to a Federal parliamentary enquiry concerning use of government information by a former PwC partner, and related probity processes and investigations. -
Former Star Casino Officers
Advised in a multi-party suit brought by ASIC for alleged breach of corporate officer duties, banning orders and pecuniary penalties in Federal Court proceedings. -
ASX and major financial institutions
Advised compliance and enforcement matters, including prosecutions and defences for major national and international banks, global investment firms and listed entities. -
Heritage Bank
Conducted independent prudential assessment of Heritage Bank and reported as part of an APRA compliance review. -
DCF Asset Management / Rapid Lending Group
Advised on acquisition and debt funding of distressed assets under a deed of company arrangement.
Awards, recognition and rankings
- Best Lawyers in Australia 2027 – Recognised for Alternative Dispute Resolution, Class Actions, Financial Institutions, Litigation, Regulatory Practice and Tax Law