Enforceable undertakings register
This register lists all enforceable undertakings APRA has accepted from individuals or entities since 1 January 2005.
The table below uses the following abbreviations for legislation:
- BA - Banking Act 1959
- GI - Insurance Act 1973
- SIS Act - Superannuation Industry (Supervision) Act 1993
Individuals
| Name | Section & Act | APRA Acceptance Date | Expiry Date | Enforceable Undertakings (EU) | Variations | Media Releases |
|---|---|---|---|---|---|---|
| Anderson, Cameron Patrick | s. 262A SIS Act | 4 July 2013 | 3 July 2025 | APRA accepts EU from five former Trio directors
| ||
| Anderson, Michael James | s. 262A SIS Act | 4 July 2013 | 3 July 2017 | APRA accepts EU from five former Trio directors | ||
| Andrews, David Ronald | s. 262A SIS Act | 6 September 2011 | 5 September 2021 | APRA accepts EUs from former Trio directors | ||
| Beck, Natasha | s. 262A SIS Act | 1 July 2011 | 30 June 2015 | APRA accepts EU from former Trio director | ||
| Byrne, John Garrett | s. 126 GI | 12 July 2006 | 30 June 2011 | |||
| Cohen, Geoffrey Arthur | s. 126 GI | 19 May 2009 | 26 September 2015 | APRA accepts EU from former HIH chairman | ||
| Finkelde, Keith Rex | s. 262A SIS Act | 12 September 2011 | 11 September 2017 | APRA accepts EU from former Trio director | ||
| Godfrey, John Alan | s. 262A SIS Act | 5 March 2012 | No expiry date | APRA accepts EU from former Trio director | ||
| Groeneveld, Kurt William | s. 262 SIS Act | 17 October 2013 | 16 April 2017 | APRA accepts EU from former Trio director | ||
| Harte, John | s. 262A SIS Act | 4 July 2013 | 3 July 2017 | APRA accepts EU from five former Trio directors | ||
| Hallinan, Terrence | s. 262A SIS Act | 27 June 2013 | 26 June 2021 | APRA accepts EU from five former Trio directors | ||
| Jones, Malcolm Murray | s. 126 GI | 26 February 2009 | 27 August 2014 | Two former Zurich executives accept EUs | ||
| Macolino, Lorenzo Patrick | s. 262A SIS Act | 28 June 2013 | 27 June 2021 | APRA accepts EU from five former Trio directors | ||
| McCafferty, Kenneth Aubrey | s. 262A SIS Act | 16 August 2007 | 31 October 2017 | |||
| McCafferty, Rodney James | s. 262A SIS Act | 16 August 2007 | 31 October 2017 | |||
| Millhouse, David Guy | s. 262A SIS Act | 29 October 2013 | 28 October 2023 | APRA accepts EU from former Trio director | ||
| O'Bryen, David | s. 262A SIS Act | 27 October 2011 | 26 April 2017 | APRA accepts EU from former Trio director | ||
| Phillpott, Rex John | s. 262A SIS Act | 6 September 2011 | 5 September 2026 | APRA accepts EU from former Trio directors | ||
| Salzgeber, Florian | s. 126 GI | 13 February 2009 | 17 October 2014 | Two former Zurich executives accept EUs | ||
| Stevens, Ian Ronald | s. 262A SIS Act | 31 July 2007 | No expiry date | |||
| Trahair, Geoffrey Vincent | s. 126 GI | 9 February 2006 | 9 February 2008 | |||
| West, Ian James | s. 262A SIS Act | 17 May 2006 | No expiry date |
Entities
| Name | Section & Act | APRA Acceptance Date | Expiry Date | Enforceable Undertakings (EU) | Variations | Media Releases |
|---|---|---|---|---|---|---|
| OnePath Custodians Pty Limited | s. 262A SIS Act | 22 July 2024 | No expiry date | APRA issues $10.7 million infringement notice and accepts court enforceable undertaking from OPC | ||
| Allianz Australia Insurance Limited | s. 126 GI | 9 March 2021 | No expiry date | APRA agrees to court enforceable undertaking from Allianz Australia | ||
| AMP Superannuation Limited | s. 262A SIS Act | 16 November 2021 | Undertakings Completed 8 May 2024 | APRA agrees to court enforceable undertaking from AMP Super over compliance deficiencies | ||
| AXA Australia Staff Superannuation Pty Limited (ACN 065 632 206) | s. 262A SIS Act | 20 May 2005 | Undertakings completed on 9 March 2006 | |||
| Bank of Queensland Limited | s. 18A BA | 30 May 2023 | No expiry date | APRA agrees to court enforceable undertaking from Bank of Queensland | ||
| Commonwealth Bank of Australia (ACN 123 123 124) | s. 18A BA | 30 April 2018 | No expiry date | |||
| Gavex Pty Ltd (ACN 010 660 312) | s. 262A SIS Act | 16 August 2007 | Undertakings completed on 31 October 2017 | |||
| Mega International Commercial Bank Co. Ltd (ARBN 79372688) | s. 18A BA | 24 August 2009 | Undertakings completed 2 October 2012 | APRA accepts EU from Mega ICBC | ||
| Realcover Insurances Pty Ltd and Real Estate Institute of New South Wales | s.126 GI | 11 April 2017 | No expiry date | |||
| Westpac Banking Corporation (ACN 007 457 141) | s. 18A BA | 3 December 2020 | No expiry date | APRA agrees to Enforceable Undertaking from Westpac to address risk governance weaknesses | ||
| Zurich Australian Insurance Limited (ABN 13 000 296 640) | s. 126 GI | 25 May 2005 | Undertakings completed on 22 July 2010 | |||
| Zurich Financial Services Australia Limited (ABN 11 008 423 372) | s. 126 GI | 25 May 2005 | Undertakings completed on 22 July 2010 |