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Disqualification Register

The individuals listed in this register have been disqualified from holding responsible person roles in APRA regulated entities

A - K

Last name First name Date effective Section & Act Entity
Abdallah Mahmoud 16 January 2004 s. 120A(2) SIS Act  
Aistrope Rodney 5 October 2004 s. 25A(1) GI HIH Insurance
Allan Russell 16 January 2004 s. 120A(2) SIS Act  
Allen Scott Fitzgerald 16 January 2004 s. 120A SIS Act SF Allen Superannuation Fund
Antoniou Cleo 18 May 2004 s. 120A(2) SIS Act SSARB Super Fund
Baldock Ian Frank 21 November 2005 s. 120A(1), s. 120A(2) SIS Act  
Barker Norman Octo 20 September 2004 s. 120A(2) SIS Act Bridlington Nominees Pty Ltd
Barnum Geoffrey 7 October 2004 GI General Reinsurance Australia Ltd
Barrett Sharon May 16 January 2004 s. 120A SIS Act B & S Barrett Superannuation Fund
Bayford John 28 February 2003 s. 120A(2), s. 120A(3) SIS Act Colors Pty Ltd Superannuation Fund
Bell Ian Michael 16 January 2004 s. 120A SIS Act Baroda Superannuation Fund
Berridge Clifford 17 June 2004 s. 120A(1) SIS Act Wall & Ceiling Superannuation Fund
Bertram Barbara Joan 16 January 2004 s. 120A(2) SIS Act  
Bilinski G 16 January 2004 s. 120A(2) SIS Act  
Blair Brigitte 16 January 2004 s. 120A SIS Act Graphic Art Promotions Superannuation Plan
Blair Maree Alyson 16 January 2004 s. 120A SIS Act David John Blair Superannuation Fund
Boulden Antony 27 September 2004 s. 25A(1) GI FAI Insurance Ltd
Boxall Brian Kenneth 21 July 2003 s. 120A(2) SIS Act Endfarm Pty Ltd
Bransky Jennifer Marsden 16 January 2004 s. 120A SIS Act Budawang Superannuation Fund
Brown Gregory Ernest 2 September 2005 s. 25A(1) GI  
Brown Thomas John 4 July 2007 s. 120A(1), s. 120A(2) SIS Act Firezone Protection Services Pty Limited
Bruton Julie 24 July 2006 s. 120A(3) SIS Act Western Trucks Superannuation Fund
Butler John 6 February 2007 s. 25A(1) GI Zurich Australia Insurance Limited
Byatt Christopher 8 October 2004 s. 25A(1) GI General Reinsurance Australia Ltd
Cain Peter 1 April 2003 s. 120A(3) SIS Act Commercial Nominees of Australia (CNAL)
Campbell Richard 18 June 2004 s. 120A(1) SIS Act Wall & Ceiling Superannuation Fund
Cassidy Terence 7 March 2005 s. 25A(1) GI HIH Insurance
Catalfamo Vincenzo 21 July 2003 s. 120A(2) SIS Act Victoria Farmhouse Pty Ltd Staff Superannuation Fund
Caughey Brett David 16 January 2004 s. 120A SIS Act Linden Investments (NSW) Pty Ltd Superannuation Fund
Chan Norman 10 March 2004 SIS Act Auditor
Clark Matthew Marcus 16 January 2004 s. 120A(2) SIS Act  
Coles Graham Sidney 16 January 2004 s. 120A SIS Act The Coles Superannuation Fund
Collins Jamie 18 June 2004 s. 120A(2) SIS Act Wall & Ceiling Superannuation Fund
Curwood Neil 30 September 2002 s. 131(1) SIS Act Auditor
Dalgleish Simon Rex 11 June 2001 s. 131(a), s. 131(b) SIS Act  
Derstepanian Margaret 11 April 2003 s. 120A(3) SIS Act Tunstall Bond Superannuation Fund
Derstepanian Sarkis 11 April 2003 s. 120A(3) SIS Act Tunstall Bond Superannuation Fund
Dodd Pauline 18 June 2004 s. 120A(2) SIS Act Wall & Ceiling Superannuation Fund
Driscoll Barry John 16 January 2004 s. 120A(2) SIS Act  
Ebbage Paul Gerrard 16 January 2004 s. 120A(2) SIS Act  
Edwards Robert 17 June 2004 s. 120A(2) SIS Act Wall & Ceiling Superannuation Fund
Ellingsen Tore 11 October 2004 s. 25A(1) GI Cologne Reinsurance Company (Dublin) Ltd
Elliott Robert France 21 June 2004 s. 131(1) SIS Act Wall & Ceiling Superannuation Fund - Auditor
Fearon Christopher 13 September 2005 s. 120A(1) SIS Act KLA Investments (No 2) Pty Ltd
Flinders Carol Ann 16 January 2004 s. 120A(2) SIS Act  
Fodera Dominic 16 July 2005 s. 25A(1) GI HIH Insurance
Foley Damian 14 July 2004 s. 120A(2) SIS Act Strategic Capital Superannuation Services Pty Ltd
Ford Kathleen 11 November 2003 s. 120A(2), s. 120A(3) SIS Act S Ford and Sons Pty Ltd
Ford Ralph 11 November 2003 s. 120A(2), s. 120A(3) SIS Act S Ford and Sons Pty Ltd
Ford William 11 November 2003 s. 120A(2), s. 120A(3) SIS Act S Ford and Sons Pty Ltd
Foulds David 16 November 2004 s. 120A(1) SIS Act Wall & Ceiling Superannuation Fund
Freeman Jeffrey Jack 1 July 2003 s. 131(1) SIS Act Auditor
Glass Anthony 6 August 2004 s. 120A(2) SIS Act Strategic Capital Superannuation Services Pty Ltd
Gorrie Alexander 3 May 2006 s. 25A(1) GI HIH Insurance Ltd
Gosling Raymond 2 May 2005 s. 25A(1) GI HIH Insurance Ltd
Gower Carolyne 16 January 2004 s. 120A SIS Act Mary-Ellen Vinciur Superannuation Fund
Greig Ronald William 16 January 2004 s. 120A(2) SIS Act  
Guild Peter Noble 28 July 2004 s. 120A(1), s. 120A(2), s. 120A(3) SIS Act KLA Australia Superannuation Fund
Hall Anthony David 28 November 2002 s. 120A(3) SIS Act Commercial Nominees of Australia (CNAL)
Hanich Carl Peter 30 January 2003 s. 120A(3) SIS Act Commercial Nominees of Australia (CNAL)
Harris Peter Richard 16 January 2004 s. 120A SIS Act PR Harris Superannuation Fund
Holder John Harold 27 January 2004 s. 120A(1), s. 120A(3) SIS Act Commercial Nominees of Australia (CNAL)
Holloway Stephen 16 January 2004 s. 120A SIS Act SWJ Holloway Superannuation Fund
Honeyman Ross James 30 January 2003 s. 120A(3) SIS Act Commercial Nominees of Australia (CNAL)
Houldsworth John 11 October 2004 s. 25A(1) GI Cologne Reinsurance Company (Dublin) Ltd
Hullin Paul 21 June 2004 s. 120A(1) SIS Act Wall & Ceiling Superannuation Fund
Israel David Ewan 16 January 2004 s. 120A SIS Act Western Hire Co Superannuation Fund
James Terrance 11 June 2004 s. 120A(3) SIS Act Employees Productivity Award Superannuation Fund
James Jeffrey 11 June 2004 s. 120A(3) SIS Act Employees Productivity Award Superannuation Fund
Johnson Douglas 18 June 2004 s. 120A(2) SIS Act Wall & Ceiling Superannuation Fund
Jones Vicki Lorraine 16 January 2004 s. 120A SIS Act PD & VL Jones Superannuation Fund
Jozsef Laszlo Imre 16 January 2004 s. 120A SIS Act The Jozsef Bros Superannuation Fund
Kamha Ashraf Ibrahim Helmy 20 March 2008 s. 25A(1) GI FAI General Insurance Company Limited
Kench Grant Edward 24 August 2004 s. 120A(3) SIS Act Piggott Wood & Baker Super Fund
Knowles Anthony James 16 January 2004 s. 120A SIS Act The Anthony James Knowles Superannuation Fund

L - Z

Last name

First name

Date effective

Section & Act

Entity

Lamont Kingsley Clive 23 September 2002 s. 120A(3) SIS Act OAMPS Ltd
Lawson Terrence Keith 6 August 2004

s. 120A(2) SIS Act

Strategic Capital Superannuation Services Pty Ltd
Lo Frederick 2 March 2005 s. 25A(1) GI HIH Insurance
Long George Burnside 20 June 2007 s. 120A(1), s. 120A(2) SIS Act Firezone Protection Services Pty Limited
Mainprize Timothy 19 October 2004 s. 25A(1) GI FAI Insurance Ltd
Maughan Michael 5 September 2003 s. 120A(3) SIS Act S Ford and Sons Pty Ltd
McCafferty John Tony 3 April 2007 s. 120A(2) SIS Act Gavex Pty Ltd
McGarry Michael Anthony 21 November 2005 s. 120A(1), s. 120A(2), s. 120A(3) SIS Act  
Mearns Bryan 16 January 2004 s. 120A SIS Act Mearns McLellan Superannuation Fund
Meikle

Roger Paul

28 April 2003 s. 120A(3) SIS Act Commercial Nominees of Australia (CNAL)
Mlikota (nee Parkinson) Jane 24 April 2003 s. 120A(2), s. 120A(3) SIS Act Colors Pty Ltd Superannuation Fund
Mostina Stephen 16 January 2004 s. 120A(2) SIS Act  
Neimanis Maris 28 July 2004 s. 120A(1), s. 120A(2), s. 120A(3) SIS Act KLA Australia Superannuation Fund
Nolan Peter Thomas 16 January 2004 s. 120A SIS Act Peter Nolan Superannuation Fund
Norris Deborah 16 January 2004 s. 120A SIS Act Rockmaze Pty Ltd 1992 Superannuation Plan
O'Doherty James Denis 16 January 2004 s. 120A(2) SIS Act  
Osborne Ramon 12 July 2004 s. 120A(2) SIS Act Bridlington Nominees Pty Ltd ACN 008 893 301
Paluszak Gail 16 January 2004 s. 120A SIS Act GJ Trotter Superannuation Fund
Parsons Rex 29 January 2004 SIS Act Bunya Chalets Employee Superannuation Fund
Parsonson Alan 28 February 2007 s. 25A(1) GI Zurich Australia Insurance Limited
Paterson Peter Reid 16 January 2004 s. 120A SIS Act Peter Paterson Superannuation Fund
Pearson Henry James 16 January 2004 s. 120A SIS Act Pearson Private Pension Fund
Ponton Reginald N 15 March 2000 s. 131(1)(b) SIS Act  
Preuss Jurgen (John) 3 December 2002 s. 120A(3) SIS Act Australian Independent Superannuation Fund (ASIF)
Price Charles T 16 January 2004 s. 120A SIS Act CT & PA Price Pty Ltd Superannuation Fund
Provan Paul James 19 June 2007 s. 120A(1), s. 120A(2) SIS Act Firezone Protection Services Pty Limited
Rauber Ian Douglas 16 January 2004 s. 120A SIS Act IH Constructions Superannuation Fund
Raynolds Morita 16 January 2004 s. 120A SIS Act Hind Superannuation Fund
Renouf Kelly 16 January 2004 s. 120A SIS Act St Tropez Superannuation Fund
Ridings Wayne 17 June 2004 s. 120A(1) SIS Act Wall & Ceiling Superannuation Fund
Riley Susan 16 January 2004 s. 120A SIS Act Rhm Group Superannuation Fund
Ripper Nicholas Webster 15 March 2000 s. 131(1)(b) SIS Act  
Robinson Erica Jane 28 November 2002 s. 120A(3) SIS Act Commercial Nominees of Australia (CNAL)
Roehr Kelvin 5 May 2004 s. 120A(1), s. 131(1)(a) SIS Act Strategic Capital Superannuation Fund - Auditor
Saunders Kevin 16 January 2004 s. 120A(2) SIS Act  
See Kevin Francis 16 January 2004 s. 120A SIS Act K See Superannuation Fund
Self John Lindsay 1 October 2004 s. 25A(1) GI General Reinsurance Australia Limited
Shaw Geoffrey James 16 January 2004 s. 120A SIS Act The Shaw Superannuation Fund
Silsby Allan Kenneth 16 May 2007 s. 120A(1), s. 120A(2) SIS Act Firezone Protection Services Pty Limited
Skinner Andrew Bryden 26 November 2002 s. 120A(3) SIS Act Commercial Nominees of Australia (CNAL)
Slee David 8 September 2004 s. 44(1) GI David Slee Consulting Pty Ltd
Smith Garry Walter 16 August 2004 s. 120A(3) SIS Act Smith Group Super Fund
Smith Stephen Trevor 16 January 2004 s. 120A SIS Act The Technical Software People Superannuation Fund
Spinks Malcolm John 2 July 2007 s. 120A(1), s. 120A(2) SIS Act Firezone Protection Services Pty Limited
Stanbridge John 24 October 2006 s. 25A(1) GI Zurich Australia Insurance Limited
Stapleton Robert 18 June 2004 s. 120A(2) SIS Act Wall & Ceiling Superannuation Fund
Stavros George 18 May 2004 s. 120A(2) SIS Act SSARB Super Fund
Steele Robert William 16 January 2004 s. 120A SIS Act Robert & Jill Steele Superannuation Fund
Stephenson Aaron Geoffrey 3 November 2004 GI Rural & General Insurance Limited
Stevenson Robert 5 February 2007 s. 25A(2) GI Zurich Australia Insurance Company
Stewart Graham W 30 April 2004 s. 120A(2), s. 120A(3) SIS Act Harts Staff Superannuation Pty Ltd
Stewart Tony 16 January 2004 s. 120A SIS Act Stewart Superannuation Fund
Sturesteps George Osvald 6 April 2005 s. 25A(1) GI  
Thompson Peter Butler 5 September 2005 s. 25A(1) GI  
Thomson Ian William 28 July 2004 s. 120A(1), s. 120A(2), s. 120A(3) SIS Act KLA Australia Superannuation Fund
Throwden John Leaver 3 February 2006 s. 21(2) BA  
Tomsic Kim 16 January 2004 s. 120A SIS Act Tomsic Superannuation Fund
Tuckfield John 1 February 2005 s. 25A(1) GI  
Turner John T. 24 June 2004 s. 120A(3) SIS Act Piggot Wood & Barker
Ungaro Emmanuel Henry 26 June 2007 s. 120A(1), s. 120A(2) SIS Act Firezone Protection Services Pty Limited
van Rens Michael John 6 August 2004 s. 120A(2) SIS Act Strategic Capital Superannuation Services Pty Ltd
Vukelic Milan 17 July 2007 s. 25A(1) GI  

Wall

Glenn

28 July 2004

s. 120A(1), s. 120A(2), s. 120A(3) SIS Act

KLA Australia Superannuation Fund

Wardell

Leonia

16 January 2004

s. 120A(2) SIS Act

 

White

Ashley

21 June 2004

s. 120A(2) SIS Act

Wall & Ceiling Superannuation Fund

Wilkie

Daniel

9 November 2004

s. 25A(1) GI

FAI Insurances Limited

Williams

Paul

15 August 2007

s. 25A(1) GI

New Cap Reinsurance Australia

Woolacott

Kerry Clifford

21 November 2005

s. 120A(1), s. 120A(2) SIS Act

 

Wright

James Hebden

16 January 2004

s. 120A SIS Act

The Wright Directors and Executives Superannuation Fund

Zuppicich Juliette 23 May 2003 s. 120A(2), s. 120A(3) SIS Act Colors Pty Ltd Superannuation Fund
Zuppicich Norman 28 February 2003 s. 120A(2), s. 120A(3) SIS Act Colors Pty Ltd Superannuation Fund
- - 16 January 2004 s. 120A(2) SIS Act B & C Wood Management Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Buner Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act DR Glass & Glazing 24 HR Glass Trading Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Duval Consulting Group Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Elder Thies Super Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Farmland Investments Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Farrer Holdings Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Felcon Holdings Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act G.I. Hockings Endocrinology Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Hull-Moody Quality Finishes Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act International Resources Consultants Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act K.J. Carpenter Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act M & H Welding Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Maxwell Business Equipment Hire Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Mogdon Investments Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Oxbow Consulting Pty Limited
- - 16 January 2004 s. 120A(2) SIS Act Paul Howes & Associates Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Ponsonby Pty Limited
- - 16 January 2004 s. 120A(2) SIS Act Pride Plumbing Services Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Raja Super Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Swdr Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act The King Superannuation Co. Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act The Salmon Man Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Trog Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Veera Pty Ltd
- - 16 January 2004 s. 120A(2) SIS Act Waltkab Pty Ltd

Disqualifications revoked

​Last Name

​First Name

​Date Effective

​Act & Section

​Entity

Burroughs

​Stephen

​24 June 2016

s. 25A(1), GI

​HIH Insurance

​Smith

John Andrew​

​19 July 2017

s. 25A(1), GI

​General Reinsurance Australia Limited

Szuch William 20 March 2018 s. 94(3), LI  

Powers

APRA may apply to the Federal Court seeking orders that a person be disqualified from responsible person roles in a regulated industry. The Court has a variety of powers available to it, including specifying the period of any disqualification, specifying the roles the disqualification relates to, and whether the disqualification is limited to a specific entity, class of entity or any entity under the relevant Act. The Court also has powers to revoke or vary a disqualification.
 
An individual can also automatically become a ‘disqualified person’; for example, if he or she is convicted of an offence involving dishonest conduct or becomes bankrupt. APRA’s disqualification register only records individuals disqualified by the Court (or formerly by APRA) and not those automatically disqualified.

Process

APRA may become concerned about an individual’s fitness and propriety or conduct through its normal supervision work, formal investigations, other information provided to APRA, such as under whistleblower provisions, or from other regulators.
 
Once a concern is identified, APRA first undertakes a preliminary assessment of the circumstances and evidence available about the individual’s alleged conduct. If satisfied that a sound case has been made for disqualification, APRA may commence proceedings in the Federal Court.   
 
In the event the Court orders the individual be disqualified, APRA is required to notify the relevant employer and to publish a notice in the Commonwealth Government Gazette. A record of the disqualification is also entered on the disqualification register. A media release may also be issued. If appropriate, APRA advises other regulators and any relevant professional associations.

Former process

Prior to the passing of the Financial Sector Legislation Amendment (Review of Prudential Decisions) Act 2008, APRA was able to make an administrative decision to disqualify an individual, which was then subject to internal and external review upon request.

Future revisions to the process

On 13 July 2017, The Treasury consulted on amending APRA’s powers to disqualify and revoke disqualifications of individuals.

Appeals

A disqualified individual can appeal the decision of the Court. The Federal Court Rules apply to such appeals.

A disqualified person may apply to the Court to have a disqualification revoked or varied at any time. Alternatively, APRA may apply to the Court seeking such Orders.

Legislation abbreviations

  • BA: Banking Act 1959
  • GI: Insurance Act 1973
  • LI: Life Insurance Act 1995
  • SIS Act: Superannuation Industry (Supervision) Act 1993

Looking for superseded standards, guidance or discontinued publications?