CCP(Fellow), MComm, BEc (Hons), PgDip Mgmt, Dip ProjMmt
David Lawrence, Principal of Pacific Compliance, has over 22 years experience in the development and supervision of financial securities markets both from the perspectives of listed companies (including continuous disclosure obligations) and stockbroking (including trading, clearing and settlement obligations).
In his various roles with the Australian Securities Exchange, David has had accountability for the implementation and standards of delivery of
- Policy development relating to listed companies, primary and secondary capital markets
- Supervision of listed companies
- Surveillance of trading on equities, options and futures markets
- Supervision of trading, clearing and settlement compliance obligations of market participants
- Conduct of compliance reviews
- Investigation of compliance failings
Pacific Compliance has the ability to leverage strong international links with exchanges and regulators around the world thereby being able to assess emerging regulatory trends and best practice and conduct assignments in association with partner bodies internationally.
David has been a regular speaker at national and international forums relating to financial markets and compliance in general. David has presented on markets related issues in New Zealand, Hong Kong, USA, Japan and the UK.
David has long had an involvement with the development of compliance as a professional discipline in Australia and the Asia Pacific region. David has been involved in the development of the Australasian Compliance Institute (ACI), the peak professional body for compliance practitioners in the Asia Pacific region, for over 10 years. David has been a Director of ACI for over 9 years and serves as the current President, having previously served in that role for 5 years. He has also served on various ACI Committees including Finance; Accreditation and Education; and Ethics. David is an ACI Certified Compliance Professional (Fellow)
David is also a Director of Macquarie Saints Baseball Club.