Regulatory Investigations and Inquiries

Our regulatory investigations and inquiries expertise

We know that in the conduct of modern business managing legal risk increasingly requires effective engagement with corporate regulators and parliamentary inquiries. We devise early and informed strategies to assist our corporate and individual clients minimise disruption and limit reputational harm and risk that can ensue from interactions with government and regulators. As a boutique specialist firm we are rarely conflicted.

  • We act for individuals and organisations, including AFSL holders and authorised representatives. Our core function is to advise and assist clients in their dealings with the regulator, including:

    • Acting in disciplinary investigations and hearings

    • Guiding responses to requests for the production of information and documents

    • Preparing our clients for compulsory interviews and appearing at compulsory interviews alongside our clients

  • We advise organisations and individuals involved in Senate Select Committee Inquiries, including by:

    • Preparing witnesses to give evidence

    • Drafting submissions

    • Advising on risk, including ensuring evidence and submissions are consistent with positions taken in corresponding litigation

  • We advise and assist witnesses, persons of interest and organisations involved in Commissions of Inquiry and investigations conducted by Corruption Commissions such as the NSW Independent Commission Against Corruption.

Our clients

Corporates
Directors and officers
Senior management employees