Corporate Regulatory
Overview
These matters are always sensitive. Not only are corporate and personal reputations at risk, but exposure to criminal, civil and administrative sanctions is often a possibility. We have a uniquely qualified team, with extensive experience, over many years, of the powers and procedures of the Australian Securities and Investments Commission (ASIC), the Australian Stock Exchange (ASX) and the Office of the Commonwealth Director of Public Prosecutions (DPP).
Our experience includes advising individuals and businesses involved in ASX and ASIC disciplinary and licensing actions, compliance issues arising out of the market manipulation and insider trading provisions of the Corporations Act and, in view of the Financial Services Reform Act, expertise on advising on exposure arising out of the revamped market misconduct provisions and the new Commonwealth Criminal Code.
Our team has advised in a range of ASIC enquiries and investigations raising not only a range of questions of compliance under the Corporations Act and ASIC Act, but often complex questions relating to duties of confidence to third parties, the status of privileged communications and the rights and obligations of staff and senior management during such enquiries and investigations.
Our regulatory defence expertise includes:
These matters are always sensitive. Not only are corporate and personal reputations at risk, but exposure to criminal, civil and administrative sanctions is often a possibility. We have a uniquely qualified team, with extensive experience, over many years, of the powers and procedures of the Australian Securities and Investments Commission (ASIC), the Australian Stock Exchange (ASX) and the Office of the Commonwealth Director of Public Prosecutions (DPP).
Our experience includes advising individuals and businesses involved in ASX and ASIC disciplinary and licensing actions, compliance issues arising out of the market manipulation and insider trading provisions of the Corporations Act and, in view of the Financial Services Reform Act, expertise on advising on exposure arising out of the revamped market misconduct provisions and the new Commonwealth Criminal Code.
Our team has advised in a range of ASIC enquiries and investigations raising not only a range of questions of compliance under the Corporations Act and ASIC Act, but often complex questions relating to duties of confidence to third parties, the status of privileged communications and the rights and obligations of staff and senior management during such enquiries and investigations.
Our regulatory defence expertise includes:
- ASIC enquiry and investigations powers
- ASX powers
- powers and role of the DPP
- ASIC's power to accept enforceable undertakings
- no action letters and submissions
- civil penalties
- criminal exposure
- issue management
- search warrants.