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...

ASIC v Philip Vernon Brian King, Australia, 2015

Expert:  M.J. Aitken We provided expertise leading to the enforcible undertaking accepted by ASIC from Mr King and Regal. Regal is an Australian fund manager that manages a variety of long-short equity funds, where Mr King acted as a director and Chief Investment...