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Practice Area - Regulatory Law

ASIC Investigations

At BlackBay Lawyers, our renowned team of ASIC investigation lawyers takes pride in offering unparalleled legal representation to those who are undergoing investigations and potential litigation instigated by the Australian Securities and Investment Commission (ASIC). With a wealth of knowledge in regulatory law, our adept litigators are well-equipped to demystify the intricacies involved in ASIC procedures. Having successfully steered countless clients through the labyrinthine ASIC process, our track record speaks for itself. Be it responding to administrative actions, mitigating civil penalties, or combating criminal sanctions, our unwavering dedication lies in upholding our clients' rights and safeguarding their interests from any harm. Navigating an ASIC investigation can be a daunting and complex endeavor; therefore, it is imperative to have an astute ASIC investigation lawyer by your side. At BlackBay Lawyers, we stand ready to provide you with the expert advice, strategic counsel, and robust representation that is paramount in dealing with ASIC investigations.


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ASIC Investigation Lawyers

The Australian Securities and Investments Commission (ASIC) wields an array of formidable investigative powers which it can deploy based on its discretion. Among these powers is the authority to issue a notice under Section 19 of the Australian Securities and Investment Commission Act. This notice necessitates individuals to furnish information, submit documents, or partake in a mandatory examination. Section 19 notices are particularly significant as they can be issued if ASIC harbors reasonable grounds to surmise that an individual possesses information that could be instrumental in aiding an ongoing ASIC investigation. It is essential to recognize that ASIC’s investigative powers are extensive and can be daunting, therefore, consulting an ASIC investigation lawyer is invaluable. The legal experts at BlackBay Lawyers can offer you astute advice and representation in dealing with Section 19 notices and other ASIC investigative measures.

When you receive an ASIC notice, it's crucial that you understand what obligations you are under (as well as what ones you aren't). Our team frequently appears at examinations on behalf of our clients and advises on the breadth of the examination, what documents are to be supplied and safeguards our clients’ rights throughout the investigation. We also defend clients who have been charged by ASIC (and other regulatory authorities) with criminal offenses related to corporate or commercial misconduct, such as fraud or other dishonesty. Our team can help you obtain direct and effective counsel if you have any concerns about a potential or actual ASIC investigation.

Our ASIC Investigation Expertise

ASIC - Section 19 Notices

ASIC Investigation - Section 19 Notices

ASIC possesses the authority to issue a Section 19 notice, compelling individuals to render information or documents pertinent to an investigation. The repercussions of receiving a Section 19 notice can be profound, and it is critical to handle this with utmost caution. At BlackBay Lawyers, our ASIC investigation lawyers specialize in guiding clients through the response process to Section 19 notices. We meticulously ensure that clients comply with the requisites of the notice, while simultaneously mounting a staunch defense to preserve their rights and interests. Understanding the nuances of ASIC's requirements and the legal ramifications thereof is essential. Our lawyers will work closely with you to develop a strategic approach tailored to your specific case, ensuring you are both compliant and well-protected throughout the process.


Meet The Team 

Our commercial law team combines decades of experience in the legal industry with countless successful outcomes. Together with our leadership, we have built one of the the best commercial law teams in Australia.

Practice Head - Regulatory Litigation

Victoria-Jane Otavski

Victoria-Jane is a leading commercial and regulatory lawyer in Australia. With over 20+ years of experience, she is the go-to legal advisor for a number of leading companies in the country. Victoria-Jane's expertise lies in her ability to understand the complex legal and business dynamics involved in commercial and regulatory law. She is known for her ability to balance client's business and regulatory interests while providing expert legal representation.

Victoria-Jane's knowledge of ASIC proceedings and her ability to provide strategic and holistic legal and business advice makes her a valuable asset to her clients. Whether you are facing a regulator investigation or need advice on commercial and regulatory matters, Victoria-Jane and her team at BlackBay Lawyers are ready to provide the expert legal representation you need. Contact us today to schedule a consultation with Victoria-Jane.

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ASIC Investigation Lawyer
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ASIC Investigation Information

What is the process of an ASIC Investigation?

The process of an ASIC investigation is a thorough and rigorous process that can have significant consequences for individuals and businesses. It is important to understand the steps involved in an ASIC investigation and to seek legal advice as soon as possible.

The investigation process typically begins when ASIC receives a complaint of misconduct. This complaint can be made in a variety of ways, such as by a state or territory law enforcement agency, a dissatisfied client or customer, or an external source such as a licensee or auditor.

Once a complaint is received, ASIC will conduct a preliminary review to determine whether it should proceed to the investigation stage. This decision will be based on a number of factors, including the extent of the loss or harm caused, the benefits of conducting the investigation, the strength of the evidence, and the type and seriousness of the misconduct.

If ASIC decides to proceed, it will begin to gather evidence. This may include conducting interviews, issuing subpoenas for documents and information, and conducting inspections and audits. It's important to note that during the investigation, ASIC has the power to access any documents, information and records that they believe are relevant, and they can use those documents as evidence to enforce compliance with the law.

It's important to note that an ASIC investigation can be a serious matter, with severe consequences for individuals and businesses. BlackBay Lawyers have experience in handling ASIC investigations and can provide expert legal representation to clients facing investigation. Our team of lawyers can help you understand the process, advise you on the best course of action, and represent you in any legal proceedings.

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ASIC Investigation Resources

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Level 30, 133 Castlereagh St, Sydney, NSW 2000 Australia

Make an enquiry

If you have been contacted by ASIC and are being investigated, it is important to seek professional legal advice as soon as possible. You may be required to attend an interview or produce documents, and it is essential that you understand your rights and obligations in this situation. You can contact the BlackBay Lawyers team who can assist, by emailing or call (02) 0889 9100.

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