Regulators Update

Event Date: 
21 August 2014
Governance Institute of Australia
Ground Floor
8 Victoria Avenue

A unique and informal opportunity to come face-to-face with corporate regulators; Australian Securities and Investments Commission (ASIC), Australian Prudential Regulation Authority (APRA), Australian Competition and Consumer Commission (ACCC) and Australian Stock Exchange (ASX).

Don’t miss this intensive, half-day program which will provide you with a better understanding of regulatory compliance and the confidence to implement good governance with accountability and transparency. It will provide regulators and the regulated with an opportunity to engage on matters of compliance, performance and good governance.

The regulators will cover the key topics on their 2014 agendas, including;
• APRA’s view on conflict of interest
• Handling of confidential information
• Financial reports and audit quality
• Recent developments in Chapter 11 – Backdoor listings
• JORC code and ASX listing rules
• ASX Update

Jane Gouvernet, Acting Regional Commissioner, Australian Securities and Investments Commission
Jane is the Acting Regional Commissioner in Perth. Prior to joining ASIC Jane worked with The Securities Association and London Stock Exchange, London, and ASX in Perth and Sydney.

Terry Jackson, Senior Manager Specialised Institutions Division, Australian Prudential Regulation Authority
Terry has broad experience as a prudential regulator having been the Senior Manager in WA since 1998, and the Assistant Director, Insurance & Superannuation Commission, prior to APRA.

James Rowe, Manager, Issuers, Australian Stock Exchange
James started his career as a lawyer, here in Perth, working in commercial law and then as a Crown Prosecutor with the State DPP for five years. James’ has a broad experience in the compliance and regulatory environment having previously worked in the Financial Services and Capital Markets directorates of ASIC.

Sam Di Scerni, WA Regional Director, Australian Competition and Consumer Commission
Sam joined the ACCC in May 1995, just before the old Trade Practices Commission and the Prices Surveillance Authority merged to take its present form. In March of 2001 he was appointed Regional Director. Prior to joining the Commission, Sam worked with the Australian Bureau of Statistics for ten years and, for a period of around five years before then, worked in the private sector as a contracts administrator in the steel fabrication industry.

Governance Institute of Australia
08 9321 8777
08 9321 8555
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