Regulatory & Investigations
Engagement, remediation, reform readiness. The work that happens before — and around — a formal investigation, led by senior practitioners who have worked in regulatory practice at ASIC and Treasury.
The Australian regulatory environment is broad, overlapping and increasingly active. ASIC, ASX, FIRB, the ATO and a growing list of sector-specific regulators each bring their own interpretive practices, enforcement priorities and procedural expectations — and the regimes themselves change. Most regulatory work happens before, and around, formal investigation: engagement and liaison, remediation programmes, readiness for regulatory reform, and the early conversations that determine whether a matter resolves quietly or escalates.
Our advisers have worked in regulatory practice at ASIC and Treasury, and that experience reshapes the work. A deep understanding of the underlying policy drivers, and an instinct for what a regulator is concerned about, is what separates a contained outcome from a costly one. Knowing how the internal conversation runs, what evidence carries weight, and where discretion sits are fundamentals of regulatory practice, and not ones every firm can offer.
The same expertise applies across the regulatory lifecycle: regulator liaison and correspondence, readiness for regulatory reform, responses to notices and statutory requests, internal investigations, and breach reporting and remediation programmes. Our principal stays on the matter from initial advice through to resolution.
Our lawyers have direct experience working at ASIC, Treasury and FIRB, including establishing FIRB's first dedicated enforcement unit.
When clients engage this practice.
Statutory notice, RFI or formal request — response strategy, evidence preservation, and ongoing regulator engagement. The response is calibrated to what the regulator is actually concerned about, not just what the document asks.
Section 19 examinations, formal notices, regulator-led investigations or civil and criminal proceedings — handled end to end with one named principal across phases. No handoffs, no loss of context.
Early read on how a regulator will see your structure or transaction, before the formal application or notice lands.
Proposal drafting, national-interest framing, Treasury and ATO engagement, condition negotiation, post-approval compliance. Direct experience from the FIRB enforcement side.
Breach assessment, regulator notification strategy, remediation design and ongoing reporting. Co-ordinated so the narrative aligns across regulators and stakeholders.
Anticipate the change before it lands. Gap analysis, transition planning, and submissions into the consultation process — so the new regime arrives at a business that is ready for it.
- ASIC, ASX & FIRB regulator liaison
- Remediation strategy & delivery
- FIRB applications & post-approval compliance
- Statutory notice, RFI & Section 19 response
- Enforcement defence & investigation response
- Breach reporting & disclosure regimes
- Regulatory reform readiness
- Pre-engagement positioning
- Financial services & sector-specific regulation
It changes what gets included in a response, what gets emphasised, and what gets left out. Regulators read responses against patterns they have already seen. Knowing the pattern — and where discretion sits — is the difference between a contained outcome and a costly one.
Yes — Section 19 examinations, formal notices, regulator-led investigations and civil and criminal proceedings, handled with one named principal across phases. Where a matter is large or specialised we co-counsel with a litigation firm; the regulatory strategy stays with us.
Yes — direct Treasury Foreign Investment Division experience, including establishing FIRB's first dedicated enforcement unit. End-to-end across the application lifecycle from initial strategy to post-approval reporting and compliance.
Often yes. Pre-engagement positioning and self-led remediation can resolve issues without formal enforcement. Earlier is almost always better.
Engage the Regulatory & Investigations practice.
Named principal on every matter. Senior advice. No junior hand-offs.