Abigail is a recently retired ASIC lawyer and ASIC Administrative Hearings Delegate. 

She now assists Wendy Prince & Associates, giving expert advice to clients and assisting on matters on a case by case basis.  

Abigail has over 17 years’ experience at ASIC and, before that, 13 years’ experience as a barrister in independent practice at the Bar of England and Wales. 

At ASIC, Abigail was a Hearings Delegate and member of ASIC’s Administrative Hearings Panel. The Panel consists of senior ASIC officers who hear administrative hearings and decide the outcome for ASIC under various parts of the Corporations Act 2001 and the National Consumer Credit Protection Act 2009. Typical cases include deciding whether financial services providers be granted licenses or banned from providing such services, whether to issue infringement notices against companies for breaches of their continuous disclosure obligations and disqualifying persons from managing corporations. Abigail also chaired the independent liquidators’ registration and disciplinary panels under the Insolvency Practice Schedule of the Corporations Act.

Before joining the Administrative Hearing Delegates Panel, Abigail was a lawyer in ASIC’s Markets Enforcement team investigating serious market misconduct including insider trading and market manipulation. 

Education

• Admission as a lawyer in NSW - 2005
• Inns of Court School of Law, London, Bar Finals - 1990
• University of Westminster, London, Post Graduate Diploma of Law - 1989
• Middlesex University, London, BA (Hons), English - 1988

Roy Shackley is an independent consultant who provides technical expertise in commercial disputes and serious market misconduct. He is also engaged as a third party expert witness in matters before the Courts.

Roy has over 9 years of experience at ASIC in the Financial Markets Group and over 25 years of practitioner experience with the leading investment banks in Australia including Macquarie Bank, UBS, Cooper & Lybrand (now PwC) and other financial service firms.

During his time at ASIC, Roy covered markets integrity, compliance, surveillance across equities, derivatives, FICC and complex products in exchange traded markets and OTC. Roy also worked on identifying, investigating and preparing serious financial misconduct matters as well as on markets surveillance infrastructure projects and the interpretation and categorisation of financial products and their value.

Education

• Master of Applied Finance - Macquarie University
• Bachelor of Commerce - University of New South Wales
• Graduate Diploma of Financial Services (Financial Planning) - Deakin University RG 146
• Securities & Derivatives Industry Association Accreditation - SDIA PS 146 Tier 1

Courses

• Australian Institute of Company Directors - Company Director
• Macquarie Graduate School of Management – Compliance Culture
• AFMA – ASIC Insider Trading and Market Misconduct
• Compact – Corporations Act Chapter 7
• University of California, Berkeley Program in Finance – Hedge Funds
• UNSW – Expert Witness training.

Susie is an experienced lawyer and commercial mediator from Shanghai practising for over 18 years in the areas of commercial law, contract law and international trade disputes.

Susie is in her final year of her Juris Doctor from UNSW.

She is the winner of the Dean’s List - the Faculty of Law & Justice, UNSW, for her outstanding performance in 2022.

Education

• Juris Doctor, University of New South Wales - due to graduate in May 2023.
• Bachelor of Law (LLB), East China University of Political Science and Law Sep 2001 - Jun 2005.

Professional Qualifications

• Australian Nationally Accredited Mediator, 2022.
• Qualified Legal Practitioners in China Mainland, 2009.
• National Judicial Examination Certificate (China), 2008.