Compact – Compliance & Training is pleased to announce the appointment of Kate Humphries as General Manager of its planned Sydney office.
“Previously heading up Pathway Licensee Services, Kate has a depth of experience and a friendly manner that has made her a delight for us to work with over many years” said Paul Derham, Partner of Compact’s associated law firm, Holley Nethercote Commercial & Financial Services Lawyers.
“A large number of our clients are Sydney based, and Kate has been a good friend for a long time. This is a great opportunity for us to work with clients to raise compliance standards in the industry and keep clients out of court across Australia” said principal Tim Nethercote.
Compact provides regulatory training to banks, government regulators, financial planning dealer groups and most other sectors in the financial services industry, in Australia and overseas. It also manages large volumes of Australian Financial Services and Australian Credit licence applications and variations.
It complements the related law firm Holley Nethercote which services a financial services and commercial client base, and often acts for businesses as Independent Expert or in a related role when licensees are subject to ASIC-mandated regulatory action, including enforceable undertakings.
“When we worked with Kate as Compliance Manager at DKN/Lonsdale, we were impressed by her clear approach to governance, regulatory risk management, and culture.
“She’s continued to develop that skill set in her subsequent role at Pathway, and we look forward to working with her and welcome her to her new role as General Manager of our planned Sydney office”, said Grant Holley.
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