Investigations and prosecutions by State and Commonwealth regulators can have extremely serious impacts on businesses and individuals. The consequences of an investigation and enforcement action be significant. Any correspondence with a regulator or government department overseeing regulatory compliance, should be taken seriously as there can be civil and sometimes criminal law outcomes.
Regulators often have extensive powers that when invoked in an investigation, this can be extremely disruptive to your business or profession. It is prudent to have a measured response that focusses on addressing the legal issues and limiting the focus of the investigation rather than broadening it inadvertently. It is also important to obtain advice on the potential involvement of third parties, as well as potential information sharing and data matching with other regulatory bodies.
Our team at PCL Lawyers have extensive experience in representing clients faced with investigations or allegations of wrongdoing. Legal outcomes for clients are greatly improved when they seek the advice and assistance of experienced litigators early in an investigation or complaint.
In our experience, the best outcomes are achieved when a strategy is put in place as early as possible and before any response is given by the business or individual under investigation.
By the time a formal investigation or prosecution takes place, those being investigated often face: the risk of very large fines; the potential closure of their business; cancellation of their professional registration; or even the prospect of imprisonment.
Expert advice, proper management and engagement with regulatory processes at an early stage will improve your chances of a positive outcome. It can be the difference between working with the regulator to improve compliance or potentially being excluded from a profession or industry.
The litigation team at PCL Lawyers is highly experienced in responding to regulatory investigations and prosecutions.
We represent clients dealing with investigations, hearings or regulatory action by regulators such as:
Alongside regulatory prosecutions or enforcement action, there are often related matters to consider, including civil claims alleging professional negligence. Our team of litigation lawyers has broad expertise and ensures that clients’ interests are protected comprehensively by developing a strategy to manage both the regulatory action other legal risks.
We often assist professionals, whose registration or practising entitlement is at risk, including through allegations of professional misconduct. We act for a wide range of professionals and businesses and correspond with careful consideration in response to the issues being investigated. Our team are thorough in their defence and work to minimise the risk to our clients’ registration whilst maintaining a professional and constructive dialogue with the regulator or authority.
At a state level, PCL Lawyers often advise and represent companies and individuals in dealings with any regulatory issue. Our lawyers are committed to ensuring our clients’ positions are robustly protected. Regulatory investigations and correspondence with any authority needs to be crafted with care and as part of a clear legal strategy to resolve the issue effectively.
Regulatory matters can have far reaching consequences for clients beyond civil and criminal penalties and reputational issues may also need to be considered. Our lawyers can provide you with guidance and work to help you preserve your reputation as well as limit your liability as much as possible.
It cannot be stressed enough that if you have any communication from a regulatory authority about an investigation or prosecution, that you seek advice from lawyers experienced in this type of litigation. Many government and regulatory authorities have significant powers that can be disruptive to your business or career. Seeking legal advice early leads to better outcomes in such disputes.
Our litigation lawyers are understanding and efficient. They can readily provide advice on a wide range of regulatory matters.