Catherine Crawford Email and Phone Number

Developed and implemented an effective compliance program for Australia including embedding corporate, US regulatory and local regulatory requirements. Actively participated in the development of business strategy to ensure the objectives could be achieved within an appropriate compliance framework.Liaised with Boston head office in relation to company-wide global policies and procedures and relevant Australian regulatory and market issues. Daily communication with business unit heads to ensure all compliance issues were identified and managed.Advised the MD and SSgA Board on regulatory and operational risk management matters. Worked with the business to develop creative compliance solutions to ensure appropriate and effective execution of business objectives.Liaised with local and US auditors and managed audit projects (internal, external and regulatory). Worked in conjunction with Legal Counsel on IMAs. Responsible for the AML Program, including local and US requirements. Development and oversight of company-wide training programs.Development of comprehensive working relationships with various departments within State Street Corporation globally. Management of projects as required by the local SSgA business or State Street Corporation. Management and development of the Australian compliance team.APAC Regional Leader and representative on various Global Working Groups to design and develop numerous standardised global compliance programs.Responsible for all aspects of:- Marketing Compliance (review of all external communications prior to release). - Portfolio Compliance (including prevention and investigation of incidents relating to IMAs and Mandates and liaising with the appropriate business units and clients). - Regulatory Compliance (ensuring all programs, policies, procedures, reports and manuals reflected local and US laws and regulations).Reported directly to CCO APAC and lead Asian initiatives, including building a cohesive regional team.

Managed State Street Global Advisors, Australia Services Limited, the Responsible Entity (“RE”) for State Street Global Advisors. Developed and maintained a sound compliance framework for the RE upon transition of the SSgA Managed Investment Schemes from the former RE. Managed all regulatory contact and communication – including with Australian Securities and Investments Commission, Australian Prudential Regulation Authority, Australian Securities Exchange, Investment and Financial Services Association and Financial Industry Complaints Service Limited.Addressed compliance and regulatory issues relating to the RE for the SSgA Managed Investment Schemes and Exchange Traded Funds. Streamlined the day-to-day administration and running of the RE including oversight of all company secretarial matters. Ensured that the RE Board and the RE Compliance Committee, of which there were two external members, were fully informed of all compliance and regulatory monitoring by the RE and its service providers in order to fulfil the obligations of its Compliance Plans and ensure compliance with its Australian Financial Services Licence. Preparation of the quarterly Regulatory Update Reports for the RE Board and Compliance Committee covering Australian, New Zealand and US regulations and rules. Assisted Legal Counsel in all service provider contractual negotiations.Reported to Head of Legal and Compliance.

Responsible for managing the regulatory requirements and company secretarial operations and procedures for a large base of companies, including public companies listed on the Australian Securities Exchange, unlisted public companies, large proprietary companies and smaller proprietary companies. Ensured all regulatory compliance with the Corporations Act and the ASX Listing Rules including preparation and lodgement of all documentation required by the Australian Securities and Investments Commission and the Australian Securities Exchange.Attendance at industry events and all client general meetings, including overseeing registration of members. Reported directly to the Principal.

Responsible for overseeing the entire operation of Personality Management (managing high profile media and sporting celebrities). Negotiated contractual arrangements including advertising campaigns, publicity campaigns, endorsements, sponsorships and personal appearances. Prepared all draft contracts (for review by external legal counsel) covering multiple jurisdictions.Developed business relationships with managed clients and business opportunities with corporations, media outlets, advertising agencies and public relations firms.Attended numerous industry functions and company publicity and public relations events. Accompanied management clients to engagements.Responsible for establishing and managing a new division of Markson Sparks! – the Talent Bank and Speakers Bureau, which recommended and booked exclusively-managed media and sporting celebrities and non-exclusively managed celebrities for speaking engagements, product endorsements, sponsorships, advertising and publicity campaigns. Including the development of all required infrastructure.Provided considerable input into the marketing and communication strategies for both divisions, including carrying-out media briefings and interviews.Responsible for staff recruitment, training and development.Acted on behalf of the Managing Director for the Company’s Public Relations and Publicity arm when required.Reported directly to the Managing Director.

Established Speakers Network International for RTA Consulting Services Pty Ltd. Supervised the establishment of the legal entity, including all contractual arrangements and appointment of officers, along with the development of infrastructure. Key responsibilities included overseeing the entire operation, which involved recommending and booking professional speakers, presenters, trainers and entertainers for corporate and private events. Developed working relationships with an extensive base of speakers, entertainers, trainers and high profile celebrities and personalities, as well as business relationships with corporate and private clients.Researched and attended numerous speaking engagements, presentations and performances to obtain extensive knowledge of a vast network of professionals and their expertise and specialities. This resulted in the ability to recommend the most appropriate and effective speaker, presenter, trainer or entertainer for the target audience and overall objectives, achieving the maximum result and the desired outcome.Attendance at numerous industry events and presentations to industry seminars and conferences. The role also included driving the marketing and communication strategies and recruiting, training and developing staff. Reported directly to the Managing Director.