Robust Analysis and Independent ExpertiseFree of conflicts
market surveillance software solutions
Capital Markets Consulting’s expertise and supporting technology delivers unrivalled credibility in complex cases. These include:
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 One's...
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 specifications