Technology, Evidence, Expertise, Independence

EWS offers expertise in assessing the merits of criminal, civil and administrative proceedings in insider trading, market manipulation and continuous disclosure breaches. Our approach is based on proven surveillance technology that allows us to produce evidence and logical tests of illegal, manipulative or deceptive trading. Under the auspices of the CMCRC, we offer training, materials, and seminars designed to develop best practices in the integrity of financial markets across the spectrum of market participants: brokers, exchanges, regulators, lawyers and court officials. Otherwise, we can direct you to expertise in assessments and proceedings as well.

Established technology

Our technology infrastructure, SMARTS, provides prima facie alerts and/or investigative processes on likely insider trading and market manipulation, and is established in 40 markets around the world, and used by all classes of market participants in Australia. Our expertise supports this technological infrastructure with world-leading experience and research in insider trading and market manipulation, and wide-ranging knowledge of the markets.

Data and logic-based tests of evidence

Our experts can help assess the merits of allegations of insider trading and market manipulation with a systematic set of evidence and logical tests of what constitutes illegal trading, and what does not. Their expertise is therefore extremely efficient in presenting evidence to the courts, as well as guiding and supporting the court's assessment of a case.

Experience and results

Our experience in over 15 criminal cases and in the detection of numerous potential violative scenarios has resulted in hundreds of regulatory actions, netting significant profit disgorgements and penalties. With a robust approach and a systematic set of evidence for each variety of manipulation/insider trading, our experts are world leaders in detecting and assessing suspicious trading.

Independence

Importantly, our experts are not currently related to any broker or financial institution, and their credibility and integrity as amicus curiae is unmatched anywhere in the world.

EWS is a wholly-owned subsidiary of the Capital Markets CRC Limited, a provider of technologies and research designed to increase the efficiency and integrity of capital markets and to sustain financial market innovation.