Simon Poidevin v Australian Securities and Investments Commission Administrative Appeals Tribunal Proceeding – 2017/7111

Expert: M.J. Aitken w/ S. Ji, V. Mollica ASIC banned Mr Simon Poidevin, of Sydney, from providing financial services for five years following an ASIC investigation into trading in the shares of DirectMoney Ltd. Mr Poidevin, Managing Director of Corporate Broking at...

Whitebox Trading Pty Limited and Anor ats Australian Securities and Investments Commission (“ASIC”), Federal Court of Australia Proceedings No. NSD383/2016

Expert: M.J. Aitken w/ S. Ji ASIC brought proceedings in the Federal Court of Australia against Whitebox Trading Pty Limited and its sole director and principal, Johannes Boshoff, following an investigation into the spike on 18 October 2012 in the prices of securities...

Australian Securities and Investment Commission v State One Stockbroking Federal Court Australia WAD540/2016

Experts:  M. G. Hains, M.J. Aitken, S. Ji ASIC brought civil penalty proceedings against State One Stockbroking Ltd (State One) in the Federal Court of Australia for failing to comply with two ASIC Market Integrity Rules (ASX Market) 2010 (MIRs), following State...

Australian Securities and Investments Commission v Australia and New Zealand Banking Group Limited, Federal Court Australia VID197/2016

Expert:  V. M.J Aitken w/ S. Ji, V. Mollica ASIC brought proceedings in the Federal Court against ANZ for unconscionable conduct and market manipulation in relation to the bank’s involvement in setting the bank bill swap reference rate (BBSW). The BBSW is the...

Australian Securities and Investments Commission v National Australia Bank Limited, Federal Court Australia, VID604/2016

ASIC brought proceedings in the Federal Court against CBA for unconscionable conduct and market manipulation in relation to the bank’s involvement in setting the bank bill swap reference rate (BBSW). The BBSW is the primary interest rate benchmark used in...