Conduct Risk Speakers

Chris is a banking and financial services consultant specialising in wholesale markets, conduct, governance, risk, compliance and regulatory matters.

Chris was ASIC’s Regional Commissioner for New South Wales and head of its Investment Banks team covering investment and corporate/institutional banks; hedge and private equity funds; retail derivatives; retail structured products; electricity; securitisation; and credit ratings agencies.  

Chris was a member of ASIC's Audit Committee, and chaired or was a member of a number of ASIC's Project Boards and Steering Committees.

At ASIC, Chris initiated and led reviews on Conduct, Cyber Resilience, Offshoring/Outsourcing, BBSW, FX Remediation, Systemic Risk, Remuneration Practices, Compliance Resourcing, and Business Engagement amongst others.  Chris was also responsible for policy initiatives and implementation.  

Prior to joining ASIC, Chris had a wealth of international and domestic experience primarily in debt markets having led or overseen more than $40 billion in capital markets transactions.  Chris spent 10 years with Société Générale and was its Managing Director and Head of Securitisation for Asia Pacific.  Chris established Société Générale's securitisation business in Canada after having been head of the North Asian business based in Japan.

Chris spent the 10 years prior to Société Générale with Citibank mainly in the securitisation and structured finance markets.

He has written a book on conduct.

Chris is a Fellow of the Governance Institute of Australia, a graduate of the Australian Institute of Company Directors, a Chartered Accountant and holds a Commerce Degree.

Kate Miller is a Compliance & Risk Manager with focus on Conduct, Conflicts of Interest, Operational & Enterprise Risk Management areas. Her work experience includes various COO & 1^st line risk, 2^nd line risk & control and I started working life in the Human Resources function. Kate has worked in London, Johannesburg and have been based in Singapore in recent years with both and Asia-Pac and more recently a Global focus to the work.

Dominic has over 20 years of experience in banking, securities, asset management and consultancy. He is a qualified accountant, fraud examiner and professional risk manager and received his MBA from the University of Hull in the UK.

Dominic is often sought to speak on risk management and provides training to regulators, universities, financial institutions and professional bodies. He is the founding member of the Asia Financial Risk Think Tank and chairman of the Hong Kong Chapter of the Institute of Operational Risk (IOR).