Partner Financial Services & FinTech, Piper Alderman
Kathy Neilson 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).
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 advises financial services clients on all types of issues including:
- regulator applications and submissions
- regulator engagement, investigation procedure and regulator priorities
- corporate governance and compliance
- superannuation, insurance and trust law and all aspects of the Corporations act with a particular focus on chapter 7
- risk and compliance requirements and the impact of legal and regulatory breaches.
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.
Masterclass 2: Legislative hot spots – Lights, Camera, Action!
Parallel 5B: Responsibility, responsiveness, and accountability – The current legal and regulatory landscape for trustees