Institutional Markets Regulatory Update
- CPD: 0.75 Hours
Cathie Armour, Commissioner, Australian Securities and Investments Commission (ASIC) will provide an update on the expectations of participants in institutional markets.
She will discuss:
- Equity Capital Market Allocations
- Debt Capital Markets Allocations
- Managing operational resilience issues
- Managing conduct issues
Cathie Armour, Commissioner, ASIC
Cathie Armour is one of the Commissioners of the Australian Securities and Investments Commission ("ASIC"). Cathie began as a Commissioner on 3 June 2013 and her term continues until June 2022.
The Commission is responsible for ASIC's performance as Australia's integrated corporate, financial markets, financial services and consumer credit regulator. Cathie is the chair of ASIC's Regulatory Issues Committee. Cathie works closely with the ASIC teams responsible for regulating market infrastructure, market surveillance, supervision of market intermediaries and the enforcement of laws relating to market integrity.
Cathie's experience before ASIC was in legal counsel leadership roles in international financial institutions. She was General Counsel for Macquarie Capital and an Executive Director of Macquarie Group. She began her career in private legal practice and has worked for law firms in Sydney and New York. Cathie is a Graduate of the Australian Institute of Company Directors. She is also a member of Chief Executive Women.
Calissa Aldridge, Senior Executive Leader, Market Supervision, ASIC
Calissa leads ASIC’s Market Supervision team, responsible for the real-time monitoring of trading activities across Australia’s equities, futures and OTC markets. She is also responsible for overseeing market intermediaries’ compliance, and for monitoring the distribution of complex products.
Calissa has held senior leadership roles in ASIC’s Market Supervision and Market Infrastructure since 2009. Before joining ASIC, she held roles at the Royal Bank of Scotland in London, the UK Financial Services Authority, Markit and the Australian Treasury.
FINSIA CPD Themes
Risk & Regulation
FASEA CPD Categories
Regulatory compliance and consumer protection
Participants may be able to apply 1 hour towards meeting their annual continuing professional development obligations. It is the individual's obligation to determine relevance of CPD to their license conditions.