Regulatory Disputes & Investigations

Regulators in Australia hold coercive powers that ordinary litigants do not. ASIC can compel a person to attend a private examination and answer questions on oath. The ACCC can require documents, information and evidence under section 155 of the Competition and Consumer Act 2010 (Cth). SafeWork NSW, the NDIS Quality and Safeguards Commission, the NSW Food Authority and the Independent Commission Against Corruption each have their own statutory powers to enter premises, require information and compel attendance. Refusing to comply is usually an offence in itself.

These matters are different from ordinary commercial litigation. The early steps are often taken before any proceeding exists, in private, under tight deadlines and with limited visibility of what the regulator already knows. The privilege against self-incrimination is modified or removed by statute in many regimes, so answers and documents given early can shape the case that follows. Legal professional privilege generally survives, but it must be claimed properly and at the right time.

Our work covers the full cycle: responding to notices and information requests, preparing for and attending compulsory examinations, engaging with regulators during investigations, negotiating enforceable undertakings and outcomes, and defending civil penalty and criminal proceedings in the Federal Court, the Supreme and District Courts of New South Wales and the Local Court. We also act in licensing disputes and in merits review before the Administrative Review Tribunal and the NSW Civil and Administrative Tribunal.