by admin | Nov 27, 2018 | academic, best practice, compliance, compliance breaches with respect to market manipulation, court testimony, expert conclaves, independent expert witness, industry expertise, M. G. Hains, M.J. Aitken, S. Ji, surveillance
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...
by admin | Nov 27, 2018 | academic, compliance, independent expert witness academic, market manipulation
Expert: Expert: M. J. Aitken w/ S. Ji FMA investigated Milford’s oversight of the trading of Mark Warminger between December 2013 and August 2014 and concluded that Milford, as the portfolio manager’s employer, engaged in market manipulation in breach of...
by admin | Nov 27, 2018 | compliance, crossings, enforcible undertakings, independent expert witness academic, insider trading, M.J. Aitken, misuse of confidential client information
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...