Dr Hains is Adjunct Professor, School of Law Sydney, University of Notre Dame Australia, building on an established career in securities market compliance as the Head of Compliance and Counsel for a number of global systemically important financial institutions, including Bank of America Merrill Lynch, Royal Bank of Scotland, and ABN AMRO Group Australia & NZ. In this capacity, Dr Hains set up compliance departments and processes and trained hundreds of staff on a wide range of topics including the Financial Services Regime, market offences, Chinese Walls, conflicts of interest, equity research independence. He now provides expertise and advice in the most litigious compliance cases in Austral-Asia.
A former editor of the Futures Chapter in CCH Australian Securities Industry Law Reporter, Consultant Editor, Financial Compliance Reporter (FINCOMP), CCH Australia, he has published extensively in major journals including the Australian Bar Review, Australian Law Journal, Butterworth’s Journal of International Banking and Financial Law, Butterworth’s Corporations Law Bulletin, NSW Law Society Journal and Lloyd’s Commercial and Maritime Quarterly.
Dr Hains was awarded a Ph. D from Sydney University. It was the first PhD on derivatives awarded by a law faculty in Australia.
Sofia Johan, LL.B (Liverpool), LL.M. in International Economic Law (Warwick), Ph.D. in Law (Tilburg), is Adjunct Professor at the Schulich School of Business, York University and also the Extramural Research Fellow at the Tilburg Law and Economics Centre (TILEC) in The Netherlands. Her research is primarily focused on law and finance, sovereign wealth funds, market surveillance, hedge funds, venture capital, private equity, IPOs and Alternative Investments. Her work has been presented at the American Law and Economics Association, the European Law and Economics Association, the European Financial Management Association, the American Economics Association meeting, and other leading international conferences. Her recent publications have appeared in numerous journals including the American Law and Economics Review, Journal of Financial Economics, Journal of Banking and Finance, Journal of International Business Studies, European Financial Management, European Economic Review, and Entrepreneurship Theory and Practice, among numerous other journals. She has co-authored the book titled Venture Capital and Private Equity Contracting and has a forthcoming book on hedge fund regulation in February 2013. Prior to her Ph.D., she was legal counsel for a derivatives clearing house and the head legal counsel at the largest government owned venture capital fund in Malaysia. She has also consulted for a variety of governmental and private organizations in Canada, Australasia and Europe.
Areas of expertise: venture capital / private equity / Market Microstructure