We provide expert guidance and representation during regulatory investigations. Our approach combines thorough preparation, strategic communication and deep regulatory knowledge to protect our clients’ interests. We aim to minimise disruption to business operations while ensuring compliance with legal obligations.

Overview

Regulatory investigations can pose significant challenges for businesses across various sectors in Australia. These investigations may be conducted by bodies such as ASIC, ACCC, ATO or industry-specific regulators. They can arise from routine compliance checks, specific complaints or broader industry-wide inquiries. The outcomes of such investigations can have far-reaching consequences, including financial penalties, reputational damage and potential criminal charges.

The complexity of regulatory frameworks in Australia means that businesses often face intricate compliance requirements. When investigations occur, they require careful management to navigate legal obligations, protect business interests and maintain stakeholder confidence. The way an organisation responds to a regulatory investigation can significantly impact the outcome and any subsequent enforcement actions.

Our approach

We adopt a proactive and strategic approach to regulatory investigations. From the outset, we work closely with our clients to understand the scope of the investigation, assess potential risks and develop a comprehensive response strategy. We emphasise early engagement with regulators, aiming to establish a cooperative tone while robustly protecting our clients’ interests.

Our services include managing regulatory communications, preparing responses to notices and subpoenas, conducting internal reviews and representing clients in interviews or hearings. We focus on presenting our clients’ position clearly and persuasively, backed by thorough evidence and sound legal arguments. Throughout the process, we advise on strategies to minimise business disruption and protect confidential information. Our goal is to achieve the best possible outcome, whether that involves demonstrating compliance, negotiating a settlement or contesting allegations.

Representative experience

• Guided a financial services firm through an ASIC investigation into alleged breaches of disclosure requirements. Our meticulous preparation and strategic engagement with the regulator resulted in the investigation being closed without further action.
• Represented a telecommunications company in an ACCC investigation regarding consumer law compliance. We negotiated a favourable outcome that included implementing enhanced compliance measures without admission of liability.
• Assisted a multinational corporation in responding to an ATO transfer pricing audit. Our comprehensive documentation and proactive approach led to a successful resolution with minimal adjustments to the company’s tax position.
• Managed a critical incident response for a healthcare provider facing a regulatory investigation following a data breach. Our swift action in coordinating the response and engaging with the regulator helped mitigate potential penalties and reputational damage.
• Defended a manufacturing company against allegations of environmental non-compliance. Our thorough internal investigation and presentation of evidence demonstrating the company’s robust environmental management system led to the regulator taking no further action.
• Supported a listed company through an ASIC investigation into continuous disclosure practices. Our strategic advice on improving governance procedures and our representation during the investigation process resulted in a negotiated outcome without formal enforcement action.