Rikki assists clients with licence applications and dealing with ASIC queries and surveillance visits. She applies the skills gained during her many years of experience at ASIC and the Australian Securities Exchange, to assist clients to comply and improve their work processes. Her meticulous attention to detail and appreciation of business requirements is valued by all of our clients, as this assists them to gain and to retain their licences.
She reviews clients’ financial records for end of year financial audits and liaises with their auditors, company accountants and Chief Financial Officers to complete annual compliance plan and financial audits and to lodge them on time. When required, Rikki works with legal firms to obtain legal advice and implement measures to enable clients to comply with regulatory requirements.
Previously, as a Senior Listings Officer with the Australian Stock Exchange, Rikki assessed listing applications; dealt with new fundraising proposals, such as stapled securities, and handled applications for listing rule waivers. She was a highly valued member of the Listing Rules Drafting Committee with her previous experience from ASIC in financial service regulation and policy, particularly in the areas of licence applications, approval of trust deeds/ constitutions, applications for exemptions from, or variations to, provisions of the Corporations Act and investigations.