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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 Form

Contact

James Shipton

1185 Avenue of the Americas
New York, NY 10036

+1 646-626-4555

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