Profile
Simon Gray is currently serving as the Chairman of the Markets Disciplinary Panel at the Australian Securities & Investments Commission.
He is also the Chairman of the ASX Appeals Tribunal.
Additionally, he holds the position of Non-Executive Chairman at Pivotal Metals Ltd.
since 2023.
Previously, Mr. Gray worked as a Director at Morgans Financial Ltd.
He also served as an Independent Non-Executive Director at Probiotec Ltd.
from 2021 to 2024.
Prior to that, he held the role of Chief Compliance Officer & General Counsel at Shaw & Partners Ltd.
Simon Gray active positions
Companies | Position | Start |
---|---|---|
PIVOTAL METALS LIMITED | Chairman | 2023-07-31 |
Australian Securities & Investments Commission
Australian Securities & Investments Commission General GovernmentGovernment Australian Securities & Investments Commission operates as an independent commonwealth government body that enforces company and financial services laws to protect consumers, investors and creditors. Its strategic priorities include promoting investor and financial consumer trust and confidence; ensuring fair, orderly and transparent markets and; providing efficient and accessible registration. The firm regulates Australian companies, financial markets, financial services organizations and professionals who deal and advise in investments, superannuation, insurance, deposit taking and credit. It licenses and regulates people and businesses engaging in consumer credit activities. The company assesses how effectively authorized financial markets are complying with their legal obligations to operate fair, orderly and transparent markets. It also licenses and monitors financial services businesses to ensure that they operate efficiently, honestly and fairly in superannuation, managed funds, shares and company securities, derivatives and insurance businesses. The firm operates through its offices located in Adelaide, Brisbane, Canberra, Darwin, Hobart, Melbourne, Perth and Sydney. Australian Securities & Investments Commission was founded in 1991 and is headquartered in Sydney, Australia. | Corporate Officer/Principal | - |
ASX Appeals Tribunal | Chairman | - |
Former positions of Simon Gray
Companies | Position | End |
---|---|---|
PROBIOTEC | Director/Board Member | 2024-06-17 |
Shaw & Partners Ltd.
Shaw & Partners Ltd. Investment Banks/BrokersFinance Shaw & Partners Ltd. (S&P) is the broker subsidiary of EFG International AG (SWX: EFGN) in Switzerland. The firm is headquartered in Sydney, New South Wales and was founded in 1987. S&P provides research and investment strategies to their clients. The firm specializes in emerging and mid-cap companies. | Compliance Officer | - |
Morgans Financial Ltd.
Morgans Financial Ltd. Investment Banks/BrokersFinance Morgans Financial Ltd. is an independent, Australian full-service stockbroking and wealth management firm headquartered in Brisbane, Queensland. Formerly known as ABN AMRO Morgans Ltd., the firm offers stockbroking services to Australian investors. | Director/Board Member | - |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
Listed companies | 2 |
---|---|
PROBIOTEC | Health Technology |
PIVOTAL METALS LIMITED | Non-Energy Minerals |
Private companies | 4 |
---|---|
Morgans Financial Ltd.
Morgans Financial Ltd. Investment Banks/BrokersFinance Morgans Financial Ltd. is an independent, Australian full-service stockbroking and wealth management firm headquartered in Brisbane, Queensland. Formerly known as ABN AMRO Morgans Ltd., the firm offers stockbroking services to Australian investors. | Finance |
Shaw & Partners Ltd.
Shaw & Partners Ltd. Investment Banks/BrokersFinance Shaw & Partners Ltd. (S&P) is the broker subsidiary of EFG International AG (SWX: EFGN) in Switzerland. The firm is headquartered in Sydney, New South Wales and was founded in 1987. S&P provides research and investment strategies to their clients. The firm specializes in emerging and mid-cap companies. | Finance |
Australian Securities & Investments Commission
Australian Securities & Investments Commission General GovernmentGovernment Australian Securities & Investments Commission operates as an independent commonwealth government body that enforces company and financial services laws to protect consumers, investors and creditors. Its strategic priorities include promoting investor and financial consumer trust and confidence; ensuring fair, orderly and transparent markets and; providing efficient and accessible registration. The firm regulates Australian companies, financial markets, financial services organizations and professionals who deal and advise in investments, superannuation, insurance, deposit taking and credit. It licenses and regulates people and businesses engaging in consumer credit activities. The company assesses how effectively authorized financial markets are complying with their legal obligations to operate fair, orderly and transparent markets. It also licenses and monitors financial services businesses to ensure that they operate efficiently, honestly and fairly in superannuation, managed funds, shares and company securities, derivatives and insurance businesses. The firm operates through its offices located in Adelaide, Brisbane, Canberra, Darwin, Hobart, Melbourne, Perth and Sydney. Australian Securities & Investments Commission was founded in 1991 and is headquartered in Sydney, Australia. | Government |
ASX Appeals Tribunal |
- Stock Market
- Insiders
- Simon Gray