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...

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...

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...

WM/Reuters Benchmark Rates, 2018

Expert:  M.J. Aitken w/ S. Ji We provided expertise in the design, analysis and alert specifications for the market surveillance of foreign exchange markets. Description: market surveillance for foreign exchange markets: design, analysis and alert...

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...