When I am not helping my clients, I am looking after my family and when time permits I enjoy running, fencing, boxing, sailing, and parkour.
- Master of Laws (LLM), University of Sydney, 2009.
- Including winter school at East China University of Political Science and Law, Shanghai, in Chinese Commercial Law.
- Bachelor of Arts / Laws (BA/LLB), 2001.
- Admitted as a solicitor, 2001.
I have over 20 years experience in white collar criminal and civil investigations / enforcement, prosecutions and litigation.
In 2021, I left ASIC after 12 years in markets investigations and enforcement to set up my own legal firm, Wendy Prince & Associates.
At ASIC, I investigated and prosecuted all forms of financial markets misconduct including insider trading and market manipulation. I was also in ASIC's "market enforcement team" (MET), this was an agile quick response team within ASIC's supervision and compliance, created to disrupt unusual trading and collect preliminary evidence of behaviours before matters became enforcement cases.
I was an Assistant Director at the AER, where I advised the AER with respect to their insider trading and market manipulation approach and capability on the wholesale gas and electricity markets including the Wallumbilla Gas Supply Hub.
I have interacted with major players including other regulators, the Australian Energy Market Operator (AEMO) and major producers, suppliers and exporters of Liquified Natural Gas (LNG).
At the ASX, I worked directly with investment banks and stockbroking firms in relation to their compliance and investigations into their breaches of the Market Integrity Rules.
At the ACCC, I investigated cartels and consumer protection cases, leading to prosecutions including household name companies.
Prior to this, I cut my teeth in the first 5 years of practise as a solicitor in litigation including at Abbott Tout for large corporate clients.
"If you know the enemy and know yourself, you need not fear the result of a hundred battles..."
Sun Tzu, The Art of War
I have over 20 years experience in white collar criminal and civil investigations / enforcement, prosecutions and litigation.
In 2021, I left ASIC after 12 years in markets investigations and enforcement to set up my own legal firm, Wendy Prince & Associates.
At ASIC, I investigated and prosecuted all forms of financial markets misconduct including insider trading and market manipulation. I was also in ASIC's "market enforcement team" (MET), this was an agile quick response team within ASIC's supervision and compliance, created to disrupt unusual trading and collect preliminary evidence of behaviours before matters became enforcement cases.
https://www.theaustralian.com.au/business/financial-services/asic-declares-war-on-corporate-misconduct/news-story/417d34660ad07099b47bdc3586e0e6fc
I was an Assistant Director at the AER, where I advised the AER with respect to their insider trading and market manipulation approach and capability on the wholesale gas and electricity markets including the Wallumbilla Gas Supply Hub.
I have interacted with major players including other regulators, the Australian Energy Market Operator (AEMO) and major producers, suppliers and exporters of Liquified Natural Gas (LNG).
At the ASX, I worked directly with investment banks and stockbroking firms in relation to their compliance and investigations into their breaches of the Market Integrity Rules.
At the ACCC, I investigated cartels and consumer protection cases, leading to prosecutions including household name companies.
Prior to this, I cut my teeth in the first 5 years of practise as a solicitor in litigation including at Abbott Tout for large corporate clients.
"If you know the enemy and know yourself, you need not fear the result of a hundred battles..."
Sun Tzu, The Art of War
Resources
FIND MEDIA LINKS HERE
Media Links:
FIND PUBLICATIONS AND TOOLS HERE
Publications and Tools:
The Regulation of Short Selling in Australia, Volume 7 No. 3 Financial Services Newsletter, Lexis Nexis.
Reporting of Net Short Sales, Volume 7 No. 4 Financial Services Newsletter, Lexis Nexis.
The Corporations Amendment Short Selling Bill 2008, Volume 7 No. 5 Financial Services Newsletter, Lexis Nexis.
Inside Insider Trading: SIAA Monthly October 2022
Having worked on the side of the regulator for 17 years Wendy Prince is in a unique position to outline the type of activities to look out for to avoid inside trading. Using case studies Wendy will outline how to detect insider trading, the profile of a “typical” insider, the long-term ramifications of an insider’s career and life tips on what to do if one is alleged to have insider traded.
Inside Insider Trading presented to SIAA on 10 August 2022, with an exclusive interview with Chris Hill.
An educative podcast with Tom Veidners, senior manager, market surveillance, gently warning market participants (banks and broking firms) about market manipulation.