Regina v Rivkin [2004] NSWCCA 7

Reported Decision : 59 NSWLR 284

New South Wales Court of Criminal Appeal

CITATION : Regina v Rivkin [2004] NSWCCA 7 HEARING DATE(S) : 15/10/03, 16/10/03 JUDGMENT DATE : 5 February 2004

JUDGMENT OF : Mason P at 1; Wood CJ at CL at 1; Sully J at 1 DECISION : Appeal against conviction and sentence dismissed

CATCHWORDS : Appeal against conviction - insider trading - appellant found guilty of contravening s1002G(2) Corporations Act 2001 - Whether miscarriage of justice - actual or ostensible bias of trial judge - former professional association - whether "personal animosity" involved in sentence - Whether trial judge erred in not directing verdict of acquittal - meaning of "information" - possession of information as particularised - materiality - Admissibility of evidence - relevance - prejudicial/probative value - medical evidence as to witness' capacity to give reliable evidence or to present more attractively - Whether summing up unfair - judicial comment/warning - Whether verdict unreasonable - Fitness to stand trial - brain tumour - frontal lobe dysfunction - appellant's mental state - conduct at trial - credibility - expert evidence - mental element of offence - Fresh evidence of undiagnosed meningioma - relevance on appeal to issues of fitness to stand trial, miscarriage stemming from inappropriate behaviour, mens rea and sentence - Equality before the law - law's concerns regarding fitness is with capacity to understand and follow proceedings not with maximising capacity to present as attractive personality - sentencing in "white collar" criminal matters - court's duty not to be swayed by "community attitudes" in particular cases as promoted by media - Appeal against sentence - whether sentence manifestly excessive - whether miscarriage of sentencing judge's discretion - insider trading not a "victimless" crime - appellant's public persona - good character - personal and general deterrence - finding of "contemptuous arrogance" - no contrition - impact of fresh evidence as to appellant's medical and mental state where absence of evidence as to any change of attitude by prisoner - D Evidence Act 1995 ss102-110 LEGISLATION CITED : Crimes Act 1914 (Cth) ss16A, 17A, 20AB Corporations Act 2001 ss1002A, 1002B, 1002C,1002G Aussie Airlines Pty Limited v Australian Airlines Pty Limited & Qantas Airlines Limited (1996) 65 FCR 215 Builders' Registration Board of Queensland v Rauber (1983) 57 ALJR 376 Coombe v Bessell (1994) 4 Tas R 149 Domican v The Queen (1992) 173 CLR 555 Doney v The Queen (1990) 171 CLR 207 Dovade Pty Limited v Westpac Banking Group (1999) 46 NSWLR 168 Eastman v The Queen (2000) 203 CLR 1 Ebner v Official Trustee (2000) 205 CLR 337 Gallagher v The Queen (1986) 160 CLR 392 Hooker Investments Pty Limited v Baring Bros Halkerston and Partners Securities Limited (1986) 10 ACLR 462 Johnson v Johnson (2000) 201 CLR 488 Johnson v Miller (1937) 59 CLR 467 Mickelberg v The Queen (1989) 167 CLR 259 Palmer v The Queen (1998) 193 CLR 1 R v Bailey (1988) 35 A Crim R 458 CASES CITED : R v El Rashid, NSWCCA 7 April 1995 R v ITA [2003] NSWCCA 174 R v Liosatos [1964] SASR 40 R v Mailes (2001) 126 A Crim R 20 R v Maxwell NSWCCA 23 December 1998 R v Morgan (1993) 70 A Crim R 368 R v Pantano (1990) 49 A Crim R 328 R v Presser [1958] VR 45 R v Scognamiglio (1991) 56 A Crim R 81 R v Turner [1975] QB 834 at 842 Re Polites (1991) 100 ALR 634 S v The Queen (1989) 168 CLR 266 Saleam v R (1989) 16 NSWLR 14 Toohey v Metropolitan Police Commissioner [1965] AC 595 Webb & Hay v The Queen (1994) 181 CLR 41 Zaidi v R (1991) 57 A Crim R 189 PARTIES : Regina Rene Walter Rivkin FILE NUMBER(S) : CCA 60198/03 COUNSEL : D Yates SC with M Buscombe (Crown) R Ellicott QC with B McClintock SC and M Wigney SOLICITORS : C K Smith (Crown) S E O'Connor