We provide robust defence against civil and criminal actions brought by regulatory bodies. Our expertise covers a wide range of regulatory frameworks, ensuring comprehensive protection for our clients. We strive to achieve favourable outcomes while minimising reputational damage and business disruption.

Overview

Regulatory defence involves responding to formal actions or prosecutions initiated by government agencies or regulatory bodies. In Australia, these actions can range from civil penalties to criminal prosecutions, brought by regulators such as ASIC, ACCC, ATO and industry-specific bodies. The consequences of regulatory actions can be severe, including substantial fines, disqualification of directors and in some cases, imprisonment for individuals involved.

The regulatory landscape in Australia is increasingly complex and enforcement-focused. Regulators are equipped with extensive investigative powers and are often willing to pursue test cases to clarify legal boundaries. This environment requires businesses and individuals to be prepared for potential regulatory actions and to have access to skilled legal representation when facing such challenges.

Our approach

We take a strategic and proactive approach to regulatory defence. Upon engagement, we conduct a thorough assessment of the allegations, evidence and potential legal defences. We work closely with our clients to understand the full context of the situation and develop a defence strategy that aligns with their overall business objectives.

Our approach often involves engaging with regulators early in the process to clarify issues and, where possible, negotiate favourable outcomes. We are experienced in managing parallel processes, such as internal investigations or related civil litigation, ensuring a coordinated and consistent defence strategy. When litigation is necessary, we provide vigorous representation, leveraging our deep understanding of regulatory law and court procedures to present the strongest possible case for our clients.

Representative experience

• Successfully defended a financial services company against ASIC allegations of misleading conduct. Our comprehensive defence strategy, including expert evidence on industry practices, resulted in all charges being dismissed.
• Represented a retail company director in criminal proceedings brought by the ACCC for alleged cartel conduct. Our nuanced approach to negotiations with the prosecutor led to a significant reduction in charges and a non-custodial sentence.
• Defended a multinational corporation in Federal Court proceedings initiated by the ATO regarding transfer pricing. Our presentation of detailed economic analysis and cross-border taxation principles resulted in a favourable settlement.
• Successfully contested WorkSafe prosecution against a manufacturing company following a workplace incident. Our defence highlighted the company’s robust safety systems, resulting in minimal penalties and avoiding conviction.
• Represented a publicly listed company in ASIC civil penalty proceedings related to continuous disclosure obligations. Our strategic approach to evidence and legal arguments led to a negotiated outcome with reduced penalties.
• Defended a healthcare provider against regulatory action by the TGA regarding advertising compliance. Our representation resulted in the matter being resolved through an enforceable undertaking, avoiding formal prosecution and allowing for business continuity.