Kathryn is a Senior Associate in the financial services regulatory team. She acts for fund managers, payment service providers, foreign exchange and derivative traders and other financial services providers.
Kathryn specialises in regulatory matters, including: structuring, establishing and ongoing administration of unregulated, unregistered and managed investment schemes. She also advises clients on Australian financial services (AFS) licensing requirements and ongoing compliance.
Kathryn also advises on white collar crime regulation, including; anti-money laundering and counter-terrorism laws, sanctions and export controls, domestic and foreign bribery and corruption laws, modern slavery laws, and private sector whistleblower laws.
With a particular interest in the intersection of the financial services and technology sectors, Kathryn also regularly advises on the application of financial services laws and regulation to innovative technology providers including digital asset issuers, share registry platforms, digital payment providers and investment platforms.
In 2019, Kathryn co-authored the Australian chapter of ‘The Law of Artificial Intelligence and Smart Machines’ published by the American Bar Association.
In 2018, Kathryn completed an industry course on blockchain strategy through RMIT and has since commenced her Master of Laws through the University of Melbourne.
Advising fund managers in relation to structuring, establishing and ongoing administration of unregulated, unregistered and registered managed investments schemes, including in relation to prescribed licensing, conduct and disclosure requirements. Also advising foreign fund managers on the regulatory requirements associated with promotion and distribution of overseas funds to Australian investors.
Fintech and regtech providers
Advising various clients, including ecommerce, social media and share economy platforms, an international bank, a large international payment systems provider, digital asset platform providers, regulatory ‘software as a service/SaaS’ providers and other financial services technology products and services in relation to the potential legal and regulatory requirements associated with providing such products and services in Australia.
Advising electronic and digital payment, ewallet and other non-cash payment providers of the application of the Corporations Act, Payment Systems Act and AML/CTF legislation to their products
Assessing integrity risks
Advising various listed and unlisted Australian and multinational entities in relation to addressing a range of integrity risks applicable to their operations, including: modern slavery reporting requirements; bribery and corruption laws; UNSC sanctions regimes; and whistleblower protection laws.
AFSL and ACL applications
Advising on applications for and variations to AFSLs and ACLs, including advising on which authorisations are required and ongoing AFSL and ACL regulatory requirements and obligations.
Assisting clients in relation to various negotiations with regulators in response to allegations regarding systemic issues and other financial services regulatory breaches.