EXPERTISE
Securities Regulation
Capital Markets
Corporate Governance
Financial Services Regulation
Regulatory Strategy & Supervision
EDUCATION
The University of Melbourne
Bachelor of Arts
Monash University
Bachelor of Laws (Honours)
Harvard Law School, Program on International Financial Systems
Fellow
WORK HISTORY
SEDA Experts
Senior Advisor
2026-Current
Oxford University
Contributor, Oxford Handbook on Insider Trading & Market Manipulation
2026-Current
Visiting Senior Practitioner
2025
Superannuation Trustees Australia
Board Chair
2025-Current
The Ethics Centre
Fellow
2024-Current
Melbourne Law School, The University of Melbourne
Senior Fellow
2022-Current
Australian Securities & Investments Commission (ASIC)
Chair & Accountable Authority
2018-2021
Harvard Law School, Program on International Financial Systems
Executive Director
2016-2018
Securities & Futures Commission (SFC), Hong Kong
Executive Director & Commission Member
2013-2016
Goldman Sachs, Hong Kong
Managing Director & Head of Government & Regulatory Affairs, Asia Pacific
2010-2013
Managing Director, Securities Division
2004-2010
ComplianceAsia & Eurekahedge, Singapore
Managing Director (and co-founder) ComplianceAsia
2002-2004
Director & Head of Hedge Fund Consulting, Eurekahedge Advisors
2002-2004
Dresdner Kleinwort Wasserstein (now Commerzbank), Hong Kong & London
Vice President, European Equity Capital Markets
2001-2002
Associate Director & Head of Transaction Management
2000-2001
Linklaters, Hong Kong & Thailand
Corporate Lawyer, Bangkok
1998-1999
Corporate Lawyer, Hong Kong
1997-1998
Blake Dawson Waldron (now Ashurst Perkins Coie), Melbourne & Hong Kong
Trainee Solicitor
1996-1997
Securities Regulation Expert Witness
James Shipton is a securities and financial markets regulator, lawyer, and capital markets expert with 30 years of experience across the financial services industry, regulatory agencies, private practice, and academia.
Mr. Shipton has held senior leadership roles in Australia, Hong Kong, and the United States, including positions at ASIC, the Hong Kong Securities and Futures Commission, Goldman Sachs, and Harvard Law School.
He served as Chair of the Australian Securities and Investments Commission (“ASIC”), where he was responsible for the strategic direction of Australia’s financial and corporate governance regulator. In this role, he led ASIC through a period of significant regulatory and organizational change and was closely involved in the supervision of Australia’s financial, asset management, and corporate sectors. He also served on the Board of the International Organization of Securities Commissions (“IOSCO”).
Prior to ASIC, Mr. Shipton was Executive Director of the Program on International Financial Systems at Harvard Law School, where he led executive education initiatives for international regulators and contributed to programs and policy discussions focused on global financial systems and regulation.
Earlier in his career, Mr. Shipton served as Executive Director and Commission Member of the Hong Kong Securities and Futures Commission (“SFC”), where he led the division responsible for the licensing and supervision of capital markets intermediaries. His work included developing supervisory strategy and overseeing the regulation of financial institutions and market professionals in Hong Kong.
Mr. Shipton also held senior positions at Goldman Sachs in Hong Kong, including as Managing Director and Head of Government and Regulatory Affairs for Asia Pacific. He established the firm’s regional government and regulatory affairs function following the Global Financial Crisis and worked extensively with governments and regulators across the region. He previously held a senior role within Goldman Sachs’ Securities Division, where he advised hedge fund clients on regulatory and market developments, including trading restrictions during periods of market disruption.
Mr. Shipton currently serves as Chair of Superannuation Trustees Australia and as a Senior Fellow at Melbourne Law School. He is also a Fellow of The Ethics Centre and an independent consultant and advisor to regulatory agencies and regulated companies. Mr Shipton has developed new methodologies to advise regulators on their effectiveness and companies on building regulatory trust. He has held a visiting role at the University of Oxford’s Commercial Law Centre and is a contributor to the ‘Oxford Handbook on Insider Trading & Market Manipulation’.
Earlier in his career, Mr. Shipton co-founded ComplianceAsia and held positions in equity capital markets and transaction management at Dresdner Kleinwort Wasserstein (Commerzbank), following legal roles at Linklaters and Blake Dawson Waldron (Ashurst Perkins Coie).
He holds a Bachelor of Arts from the University of Melbourne and a Bachelor of Laws (Honours) from Monash University, and has been admitted to practice law in Australia, England and Wales, and Hong Kong.
Contact
James Shipton
1185 Avenue of the Americas
New York, NY 10036
+1 646-626-4555

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