Regulatory Investigations

 
Interest from the regulator is always unwanted and often disruptive to day-to-day operations. Investigations have the potential to bring unwanted public scrutiny and risk to reputation – and ultimately the threat of prosecution.

Getting the right support and guidance from an experienced legal advisor from the outset is essential. We focus on working with regulators to resolve and settle any issues without the need for litigation, and if this is unavoidable, we have the expertise to efficiently defend any litigation.

Our multidisciplinary team thoroughly understands the regulatory framework and acts for many clients involved in investigations and proceedings commenced by ASIC, the ACCC, the ATO and other regulatory bodies.

Experience

  • Successfully representing a number of executives of a large international financial institution who were issued with notices under the Australian Securities and Investments Commission Act 2001 in connection with an allegation that the financial institution engaged in misleading and deceptive conduct in respect of credit limits. We represented the clients in ASIC examinations and in respect of all dealings with ASIC.
  • Advising a well-known Japanese company and its subsidiary in relation to an ACCC investigation. We successfully defended the client in relation to the investigation.
  • Acting in a claim against a multi-national retailer concerning trade mark and misleading and deceptive conduct claims concerning branding on products.
  • Acting in many franchise disputes in the Federal Court involving claims such as misleading representations and breach of contract in relation to services, profitability, territory, advertising and claims for relief (such as damages for loss of profit and injunctive relief).
  • Acting for a hardware business on an ACCC investigation of advertising alleged to be in breach of section 53 of the Competition and Consumer Act, and drafting terms of a proposed enforceable undertaking.

Key contact

Graydon Dowd leads the Hall & Wilcox commercial dispute resolution practice and provides expertise in litigation and mediation.

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Partner Alison Baker and Special Counsel Julian Hammond discuss how education providers are recovering from the pandemic.

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Talking Tax – Issue 204

In this edition of Talking Tax, we discuss the Clough decision impact statement, the OECD’s recent guidance on its suggested reform of the international tax rules, and much more.