Corporate Crime & Investigation Services

Regulatory bodies wield extensive investigative and enforcement powers, making proactive legal strategies essential for businesses and executives facing scrutiny. BlackBay Lawyers provides high-level representation in corporate crime, regulatory investigations, and crisis management, advising on fraud, bribery, corruption, insider trading, money laundering, and corporate misconduct. We assist clients in responding to ASIC, ACCC, AUSTRAC, and other enforcement agencies, while mitigating legal, financial, and reputational risks. Our expertise extends to internal investigations, corporate governance, and risk management, ensuring businesses strengthen compliance frameworks and respond effectively to regulatory scrutiny. In high-stakes enforcement actions and corporate crises, we provide strategic advocacy and reputation management, protecting our clients with precision and discretion.

Areas of Expertise - Corporate Crime and Investigation Matters

Regulatory Compliance and Risk Management

Corporate Governance, Including Fraud and Insider Trading

Bribery & Corruption

Criminal Cartel Conduct

Other Alleged Contraventions of the Corporations Act

Royal Commissions and Other Inquiries

Employee Fraud

Crisis & Reputation Management

Anti-Money Laundering & AUSTRAC Compliance

Whistleblower Protections & Internal Investigations

Tax Fraud & ATO Investigations

Cybercrime, Data Breaches & Privacy Compliance

Workplace Fraud & Regulatory Compliance

Director & Executive Representation

Bribery & Corruption

Bribery and corruption offences pose significant risks to corporations and executives, exposing them to criminal prosecution, financial penalties, and reputational damage. In Australia, anti-bribery and corruption laws are governed by the Criminal Code Act 1995 (Cth), which imposes strict liability for corporate misconduct, as well as extraterritorial provisions under the Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act for companies operating internationally.

BlackBay Lawyers provides comprehensive legal counsel on anti-bribery compliance, helping businesses implement policies that prevent improper payments, facilitation fees, and corrupt conduct. We assist clients in conducting internal investigations into suspected corruption, advising on self-reporting obligations, voluntary disclosures, and cooperation with regulatory authorities.

Where allegations arise, we provide robust defence representation in criminal proceedings, civil penalty actions, and regulatory investigations. Our team also advises corporate clients on third-party due diligence, compliance training, and risk mitigation strategies to prevent bribery and corruption within global supply chains and cross-border transactions.

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Other Alleged Contraventions of the Corporations Act

The Corporations Act 2001 (Cth) imposes strict obligations on companies, directors, and officers, with serious consequences for non-compliance. Alleged contraventions can result in regulatory enforcement, disqualification of directors, financial penalties, and even criminal liability in cases involving fraudulent conduct.

BlackBay Lawyers advises clients on a wide range of Corporations Act matters, including:

Directors’ duties and fiduciary responsibilities – Ensuring compliance with legal obligations to act in good faith, avoid conflicts of interest, and exercise due diligence in corporate decision-making.
Continuous disclosure obligations – Advising listed companies on ASX disclosure requirements, market-sensitive announcements, and corporate transparency obligations.
Insolvent trading and corporate restructuring – Defending directors against allegations of trading while insolvent, assisting with voluntary administration, and negotiating creditor arrangements.
Market misconduct and financial reporting obligations – Providing guidance on regulatory compliance, preventing breaches of financial reporting laws, and defending enforcement actions initiated by ASIC.

In cases of regulatory investigations or enforcement proceedings, we represent clients in negotiations, litigation, and dispute resolution, ensuring their rights are protected throughout the legal process.

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Regulatory Compliance and Risk Management

In an era of increasing regulatory scrutiny, businesses must proactively manage compliance obligations to avoid significant legal and financial repercussions. Regulatory non-compliance can lead to severe penalties, criminal liability, and reputational damage, making a robust compliance framework essential.

At BlackBay Lawyers, we assist corporations, financial institutions, and executives in developing and implementing compliance programs that align with Australian regulatory requirements, including obligations under the Corporations Act 2001 (Cth), Australian Consumer Law, Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth), and competition law regulations.

We conduct comprehensive risk assessments, compliance audits, and internal investigations to identify potential vulnerabilities within an organisation. Our team provides guidance on self-reporting obligations, remediation strategies, and engagement with regulatory bodies such as ASIC, the ACCC, AUSTRAC, APRA, and other enforcement agencies. Where a potential breach is identified, we assist clients in responding effectively to regulatory inquiries, avoiding unnecessary exposure while maintaining compliance with disclosure obligations.

Beyond regulatory compliance, we help businesses establish effective risk management strategies, ensuring internal governance structures prevent misconduct, fraud, and unethical practices. Our approach is tailored to the specific risks faced by each client, offering proactive solutions that support long-term business stability and legal security.

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Royal Commissions and Other Inquiries

Royal Commissions and public inquiries have far-reaching legal and reputational consequences for businesses and executives. These high-profile investigations often involve extensive document production, witness testimony, and intense media scrutiny.

BlackBay Lawyers provides strategic legal representation for clients involved in Royal Commissions, Parliamentary Inquiries, and regulatory reviews, ensuring they comply with legal obligations while safeguarding their commercial interests. Our services include:

Preparing submissions and responding to compulsory notices.
Advising on privilege, confidentiality, and reputational risk management.
Representing clients in public hearings and private examinations.
Managing document disclosure, evidence preparation, and regulatory engagement.

We ensure that clients navigate these inquiries with precision and discretion, minimising the impact on their business operations and long-term standing.

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Employee Fraud

Employee fraud can result in significant financial losses, legal liabilities, and operational disruptions for businesses. Fraudulent activities may involve embezzlement, false accounting, payroll fraud, procurement fraud, and unauthorised use of company funds.

BlackBay Lawyers assists businesses in identifying, investigating, and responding to internal fraud, working closely with forensic accountants, corporate investigators, and regulatory bodies where necessary. Our legal services include:

Conducting internal fraud investigations and forensic audits.
Advising on dismissal and disciplinary procedures for fraudulent employees.
Recovering misappropriated assets through civil litigation and restitution claims.
Liaising with law enforcement agencies to initiate criminal proceedings where appropriate.

We also assist businesses in developing fraud prevention frameworks, implementing internal controls, and enhancing whistleblower protection policies to minimise future risks.

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Corporate Governance, Including Fraud and Insider Trading

Corporate governance is a cornerstone of responsible business practice, ensuring that directors and executives act in the best interests of stakeholders while maintaining compliance with legal and regulatory obligations. Weak governance structures can expose businesses to regulatory enforcement, shareholder disputes, and financial crime risks, including fraud and insider trading.

BlackBay Lawyers advises corporate boards, directors, and senior executives on best-practice governance frameworks, including the design and implementation of internal controls to detect and prevent misconduct. We provide counsel on directors’ duties, continuous disclosure obligations, conflicts of interest, and financial reporting requirements. Our team assists in navigating corporate restructures, shareholder activism, and regulatory investigations into governance failures.

In cases of fraud and insider trading, we provide defence representation for individuals facing enforcement action by ASIC, including allegations of improper securities trading, unauthorised disclosures, and market manipulation. Our firm also advises businesses on internal investigations, whistleblower protections, and corporate policies that mitigate the risk of fraudulent activity within an organisation.

We work closely with in-house counsel and compliance teams to implement corporate governance strategies that align with Australian legal standards, ensuring that businesses operate with integrity while minimising legal and financial risks.

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Criminal Cartel Conduct

Cartel conduct is one of the most serious forms of anti-competitive behaviour under Australian law, carrying severe criminal and civil penalties for businesses and individuals. The Competition and Consumer Act 2010 (Cth) and the Criminal Code Act 1995 (Cth) prohibit collusive arrangements such as price-fixing, bid-rigging, market allocation, and output restrictions, which distort market competition and harm consumers.

BlackBay Lawyers represents businesses and executives under investigation for cartel conduct by the Australian Competition and Consumer Commission (ACCC) and the Commonwealth Director of Public Prosecutions (CDPP). We provide strategic advice on leniency and immunity applications, assisting clients in securing reduced penalties through cooperation with authorities.

For companies facing allegations of cartel conduct, we develop tailored defence strategies, challenging regulatory findings, negotiating settlements, and representing clients in enforcement proceedings. Our team also advises businesses on implementing competition law compliance programs, ensuring internal policies and training programs prevent inadvertent breaches of anti-cartel provisions.

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Crisis & Reputation Management

A corporate crisis or regulatory investigation can cause significant reputational damage, loss of investor confidence, and operational disruptions. Managing legal, regulatory, and media risks is essential to protecting business continuity and stakeholder trust.

At BlackBay Lawyers, we provide discreet, strategic crisis management services, ensuring businesses and executives can respond effectively to high-profile allegations, regulatory scrutiny, and reputational threats.

1.Reputation Protection in Corporate Crime Investigations

Advising clients facing public or regulatory scrutiny to mitigate reputational harm.
Engaging with regulators, stakeholders, and the media to control the narrative and protect our clients’ interests.
Managing communications in high-profile enforcement actions, ensuring legal accuracy and reputational sensitivity.

2. Defamation & Crisis Response fora Executives and Businesses

Advising businesses and directors facing false allegations or damaging media exposure.
Emergency legal intervention to remove defamatory content and limit reputational harm.
Strategic public relations and litigation solutions to ensure brand protection and corporate stability.

3. Crisis Legal Strategy & Risk Mitigation

Immediate response planning for regulatory raids, dawn raids, and corporate crises.
Defence against false accusations of corporate wrongdoing, ensuring legal compliance and damage control.
Advising on legal privilege, confidentiality, and crisis containment, ensuring sensitive matters are handled with precision.

At BlackBay Lawyers, we take a comprehensive, multidisciplinary approach to crisis and reputation management, ensuring our clients’ interests remain protected in the face of corporate and regulatory challenges. Our Legal Affairs Strategist, Naomi Shivaraman, plays a key role in navigating reputational risks, leveraging her experience in legal strategy, risk mitigation, and media engagement to manage crises effectively.

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Anti-Money Laundering & AUSTRAC Compliance

Australia has strict anti-money laundering (AML) and counter-terrorism financing (CTF) laws under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth). Businesses that fail to comply with AML/CTF regulations face significant penalties, regulatory scrutiny, and reputational damage. The Australian Transaction Reports and Analysis Centre (AUSTRAC) actively enforces these laws, investigating financial institutions, professional service firms, real estate agencies, casinos, and digital payment platforms.

How We Assist:

Advising on AML/CTF compliance programs tailored to industry-specific regulatory obligations.
Conducting AML/CTF risk assessments and internal audits to identify and mitigate financial crime risks.
Representing clients in AUSTRAC enforcement actions, compulsory notices, and litigation.
Assisting with Suspicious Matter Reports (SMRs), transaction monitoring, and customer due diligence (CDD).
Defending against money laundering allegations and ensuring clients remain compliant with Australian and international financial crime laws.

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Whistleblower Protections & Internal Investigations

The Corporations Act 2001 (Cth) provides legal protections for whistleblowers who report corporate misconduct, fraud, bribery, and regulatory breaches. Failing to establish strong whistleblower policies can result in regulatory investigations, reputational harm, and legal liability for companies and executives.

How We Assist:

Drafting and implementing whistleblower protection policies in compliance with ASIC and corporate governance regulations.
Conducting internal investigations into suspected corporate fraud, bribery, and misconduct.
Advising businesses on how to handle whistleblower disclosures while mitigating legal and reputational risks.
Representing businesses and executives in whistleblower-triggered investigations and enforcement actions.
Assisting whistleblowers in submitting protected disclosures while ensuring their legal rights are upheld.

We provide strategic legal guidance to both businesses and whistleblowers, ensuring that compliance and legal risks are effectively manage

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Tax Fraud & ATO Investigations

The Australian Taxation Office (ATO) is highly proactive in investigating corporate tax fraud, tax evasion, and aggressive tax planning schemes. Businesses or individuals under ATO scrutiny may face severe financial penalties, criminal prosecution, and director liability.

How We Assist:

Defending businesses and individuals in ATO audits, fraud investigations, and enforcement actions.
Assisting with voluntary disclosures, tax compliance reviews, and negotiations with the ATO.
Advising businesses on legally compliant tax structures to prevent allegations of tax evasion or avoidance.
Representing clients in civil tax disputes, appeals, and criminal tax fraud prosecutions.
Ensuring that ATO investigations are handled with discretion, minimising legal exposure and reputational harm.

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Cybercrime, Data Breaches & Privacy Compliance

Cybercrime is a rapidly growing legal risk for businesses, with data breaches, hacking incidents, and financial fraud leading to regulatory investigations and legal liability. The Privacy Act 1988 (Cth) and the Notifiable Data Breaches (NDB) scheme impose strict obligations on businesses handling personal and financial data.

How We Assist:

Advising businesses on cybercrime laws, data breach obligations, and privacy compliance.
Representing clients in regulatory investigations into data security failures and privacy breaches.
Assisting businesses in incident response planning and forensic investigations into cybercrime attacks.
Defending companies accused of intellectual property theft, corporate espionage, and online fraud.
Ensuring compliance with data protection laws, cybersecurity regulations, and digital risk frameworks.

Our cybercrime legal team helps businesses mitigate risk, respond to cyber threats, and defend against regulatory enforcement actions.

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Workplace Fraud & Regulatory Compliance

Workplace fraud and corporate regulatory breaches can expose businesses to significant legal, financial, and reputational risks. Organisations must take proactive steps to prevent misconduct, detect fraudulent activities, and respond effectively to regulatory investigations. At BlackBay Lawyers, we provide specialist legal support to businesses and executives facing allegations of workplace fraud, financial irregularities, and corporate non-compliance.

We assist clients in conducting internal investigations, defending regulatory enforcement actions, and implementing compliance frameworks to mitigate legal risks. Whether dealing with allegations of financial misappropriation, payroll fraud, procurement fraud, or director liability, our team delivers strategic legal solutions tailored to protect businesses and executives from corporate crime exposure.

Our expertise includes:

Internal Investigations & Fraud Prevention – Assisting businesses in identifying, investigating, and addressing fraudulent workplace activities, including financial fraud, employee misconduct, and misappropriation of company assets.
Regulatory Defence & Compliance Advice – Representing clients in ASIC, Fair Work Ombudsman, ATO, and AUSTRAC investigations, ensuring compliance with corporate governance, taxation, and workplace regulations.
Director & Executive Representation – Defending business leaders against allegations of workplace fraud, corporate mismanagement, and fiduciary breaches, ensuring their rights and reputations are protected.
Workplace Compliance & Risk Management – Advising businesses on corporate governance, internal fraud controls, and compliance policies to prevent misconduct and regulatory scrutiny.
Litigation & Crisis Management – Representing businesses in civil, criminal, and regulatory proceedings related to workplace fraud and compliance breaches.

At BlackBay Lawyers, we deliver practical, business-focused legal strategies that help organisations manage risks, protect assets, and respond effectively to corporate fraud and regulatory challenges. Contact us today for expert legal guidance and defence in workplace fraud and compliance matters.

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Director & Executive Representation

Directors and executives are subject to strict legal duties under the Corporations Act 2001 (Cth) and other regulatory frameworks. When allegations of workplace fraud, corporate mismanagement, or fiduciary breaches arise, business leaders face significant personal liability, financial penalties, regulatory disqualification, and potential criminal prosecution. In such cases, having experienced legal representation is critical to ensuring fair proceedings, reputational protection, and strategic defence against enforcement actions.

At BlackBay Lawyers, we provide high-level legal support and strategic defence to directors, executives, and corporate officers facing regulatory investigations, compliance breaches, and workplace fraud allegations. Our expertise includes:

Defending against ASIC enforcement actions related to breaches of directors’ duties, insolvent trading, and corporate fraud allegations.
Protecting directors from personal liability claims in cases of mismanagement, financial misappropriation, and governance failures.
Advising executives on regulatory compliance obligations to prevent enforcement action and corporate governance breaches.
Representing business leaders in Fair Work, ACCC, and ATO investigations related to employment disputes, financial fraud, and tax non-compliance.
Negotiating settlements and resolving disputes to protect executives from career-damaging legal consequences.

We work closely with boards, senior management, and in-house legal teams to provide tailored legal strategies that mitigate risks, protect reputations, and ensure regulatory compliance. Our approach ensures that directors and executives receive expert legal guidance while safeguarding their professional standing and corporate interests.

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Practice Area - Corporate Law

Corporate Crime &
Investigations

At BlackBay Lawyers, we recognise that navigating corporate crime and regulatory investigations requires precision, discretion, and strategic foresight. Our dedicated team provides comprehensive legal support, guiding clients through every stage of investigations, compliance, and enforcement proceedings to protect their interests and reputations.

Engage our Experts

Contact our experienced team today

Meet The Team

Our Corporate Crime & Investigations team brings together decades of experience and a proven track record of delivering exceptional outcomes for clients facing regulatory scrutiny and enforcement action. Under the leadership of highly regarded practitioners, we have built one of Australia’s leading teams in corporate crime, regulatory investigations, and financial misconduct matters. We are known for providing strategic, commercially focused legal solutions, ensuring businesses and executives are protected at every stage of compliance, investigation, and enforcement proceedings.

Special Counsel

Dragan Gasic

Dragan is a highly respected Australian lawyer with a dedicated practice in Corporate Crime & Investigations. He is the first point of contact for clients facing complex regulatory scrutiny, enforcement action, and corporate misconduct allegations. With extensive experience advising businesses and executives, Dragan provides strategic guidance on fraud, insider trading, bribery, corruption, and other financial crime matters. His expertise allows him to deliver tailored, effective solutions that mitigate risk, ensure compliance, and protect clients navigating high-stakes investigations and enforcement proceedings.

If you are in need of a Corporate Crime & Investigations lawyer, contact Dragan below.

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Partner

Greg Leather

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Special Counsel

Monica Allen

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Associate

Michael
Wells

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Senior Associate

Isabella Orlic

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Legal Affairs Strategist

Noami
Shivaram

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Our Approach

At BlackBay Lawyers, our purpose is to empower our clients to overcome their legal challenges with confidence that not only achieve positive results but also foster growth, innovation, and success

We do this by providing exceptional legal solutions that combine the expertise of the best legal talent with cutting-edge technology. Our team is comprised of specialists in Commercial, Regulatory, Employment, Defamation Litigation and Corporate Crime & Investigations.

We are dedicated to delivering the highest level of service in a holistic manner.

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Corporate Crime & Investigations FAQ

What should I do if my business is under investigation by a regulatory body such as ASIC or the ACCC?

If your business is subject to an investigation by ASIC, the ACCC, AUSTRAC, APRA, the ATO, or another enforcement agency, it is essential to take swift and strategic action to protect your legal position. Investigations can arise due to suspected breaches of corporate governance laws, anti-competition laws, financial crime regulations, or tax compliance obligations.

Key steps to take if you are under investigation:

Do not ignore regulatory notices – Agencies such as ASIC and the ACCC have the power to issue compulsory information requests, notices to produce documents, and examination summonses. Failure to comply may result in criminal penalties or additional regulatory action.
Seek immediate legal advice – Regulatory investigations require specialised expertise. Engaging experienced corporate crime lawyers ensures that you understand your legal obligations and can formulate an appropriate response strategy.
Preserve all relevant records – Destroying, concealing, or altering documents related to the investigation can lead to obstruction of justice charges. Maintain all emails, financial records, contracts, and internal communications.
Limit internal and external communications – Avoid making statements to regulators, employees, or the media without legal guidance, as these can be used against you in legal proceedings.
Assess your risk exposure – Determine whether your company’s corporate governance frameworks and compliance programs are sufficient, and address any vulnerabilities that regulators may scrutinise.

At BlackBay Lawyers, we provide strategic defence strategies for businesses and executives facing regulatory scrutiny, ensuring that investigations are handled discreetly and with minimal disruption to operations

What are the penalties for corporate crime in Australia?

The penalties for corporate crime in Australia vary depending on the offence and the regulatory authority enforcing the law. Common penalties include:

Substantial financial penalties – Businesses found guilty of corporate misconduct may be fined hundreds of millions of dollars. Under competition law, penalties for cartel conduct can be as high as $500 million or three times the benefit obtained from the conduct.
Criminal convictions and imprisonment – Corporate executives convicted of offences such as insider trading, bribery, or fraud may face prison sentences of up to 15 years.
Director disqualification – ASIC has the power to disqualify directors from managing corporations for breaches of corporate governance laws, particularly where directors fail to act in the best interests of shareholders.
Reputational damage – Allegations of corporate misconduct can severely impact a company’s reputation, leading to loss of market confidence, withdrawal of investors, and adverse media attention.

BlackBay Lawyers provides specialist legal defence in corporate crime cases, ensuring that businesses and executives understand their rights, minimise exposure to penalties, and implement proactive legal strategies to safeguard against future regulatory risks.

What is corporate crime, and how does it affect businesses and executives?

Corporate crime encompasses a wide range of unlawful activities committed by companies, executives, or employees in the course of business operations. These offences can include fraud, insider trading, bribery, corruption, money laundering, criminal cartel conduct, breaches of corporate governance laws, and violations of regulatory compliance requirements.

Corporate crime poses significant legal, financial, and reputational risks to businesses and individuals. A company found guilty of corporate misconduct may face substantial financial penalties, civil lawsuits, and regulatory sanctions, while executives and directors may be subject to criminal prosecution, director disqualification, and even imprisonment. Additionally, allegations of corporate wrongdoing can cause irreparable damage to a company’s brand and investor confidence, leading to loss of business and regulatory scrutiny.

Regulators such as ASIC, the ACCC, AUSTRAC, APRA, and the ATO have broad investigative and enforcement powers to prosecute corporate misconduct, often working in collaboration with the Commonwealth Director of Public Prosecutions (CDPP). As enforcement efforts intensify, businesses must take proactive steps to prevent misconduct through strong corporate governance, internal controls, and risk management frameworks.

At BlackBay Lawyers, we provide comprehensive legal representation in corporate crime matters, ensuring that businesses and executives are prepared to navigate investigations, enforcement proceedings, and compliance obligations while protecting their interests and reputations

What should I do if I suspect fraud or financial misconduct within my organisation?

If you suspect fraud or financial misconduct within your organisation, it is critical to act quickly:

Conduct an internal investigation – Engage forensic accountants and legal counsel to review financial records and transactions.
Implement stronger internal controls – Improve governance frameworks and fraud detection measures.
Take legal action if necessary – In serious cases, civil recovery proceedings or criminal referrals may be required.

At BlackBay Lawyers, we assist businesses in investigating and responding to financial misconduct, ensuring appropriate legal and compliance measures are taken.

What is criminal cartel conduct, and how can businesses avoid it?

Criminal cartel conduct refers to anti-competitive agreements between businesses that restrict fair market competition. Under the Competition and Consumer Act 2010 (Cth), cartel conduct is a serious criminal offence that can result in multi-million-dollar fines and imprisonment for individuals.

Cartel conduct includes:

Price-fixing – Competitors agree to set or maintain prices instead of competing fairly.
Bid-rigging – Businesses coordinate to manipulate tender or procurement processes.
Market allocation – Competitors agree to divide markets, customers, or regions among themselves.
Output restrictions – Agreements to limit the supply or production of goods and services.

To prevent cartel conduct, businesses should implement strong competition law compliance programs, conduct regular internal audits, and seek legal advice before engaging in industry collaborations.

BlackBay Lawyers provides competition law defence strategies, ensuring that businesses comply with legal obligations while protecting their commercial interests.

What is insider trading, and how is it prosecuted in Australia?

Insider trading occurs when an individual buys or sells financial securities while in possession of material, non-public information that could affect the price of those securities. This is a serious criminal offence under the Corporations Act 2001 (Cth) and is actively prosecuted by ASIC and the Commonwealth Director of Public Prosecutions (CDPP).

Key elements of insider trading:

Possession of inside information – The accused must have had access to confidential, price-sensitive information that is not available to the public.
A financial advantage gained – The accused must have used this information to buy, sell, or recommend securities, thereby gaining a financial benefit or avoiding losses.
Legal consequences – Penalties for insider trading include criminal fines, civil penalties, director disqualification, and imprisonment of up to 15 years.

At BlackBay Lawyers, we provide expert legal defence in insider trading investigations, advising individuals and businesses on compliance with securities laws and representing clients in ASIC enforcement actions.

What are my rights if I am interviewed by a regulatory body or law enforcement agency?

If you are interviewed by a regulatory agency such as ASIC, the ACCC, AUSTRAC, the ATO, APRA, or a law enforcement body, it is crucial to understand your legal rights and obligations. Investigations into corporate crime and regulatory breaches can be complex, and failing to handle the process correctly can significantly impact your legal position and potential liability.

Key Rights and Considerations

Right to Legal Representation
- You have the right to seek legal advice and be represented by a lawyer before answering any questions in an interview.
- If you are subject to a compulsory examination under the ASIC Act, the ACCC Act, or another regulatory statute, your responses may be used as evidence in legal proceedings.
- A lawyer can help you understand your obligations and ensure you do not inadvertently incriminate yourself or your business.
Right Against Self-Incrimination
- In criminal or regulatory investigations, you generally have the right to remain silent to avoid self-incrimination. However, in some cases, regulatory bodies may compel you to provide information.
- Some regulatory regimes, such as ASIC investigations, allow regulators to compel answers to questions but limit the ability to use those responses as evidence against you in criminal proceedings.
- A lawyer can help you navigate these legal complexities, ensuring you comply with the law while protecting your rights.
Obligation to Comply with Compulsory Notices
- Certain regulators, such as ASIC and the ACCC, have the power to issue compulsory notices requiring individuals or companies to produce documents, answer questions, or attend formal examinations.
- Non-compliance with these notices can result in significant penalties, including fines or imprisonment.
- It is essential to review the scope of the notice carefully and seek legal advice on how to respond.
Confidentiality and Privilege
- If you are required to disclose commercially sensitive or legally privileged documents, your lawyer can advise on whether you can claim legal professional privilege to protect certain communications from being disclosed.
- Confidentiality obligations should also be considered when providing information about corporate affairs or third parties.
Risk of Making Inadvertent Admissions
- Regulatory interviews can be highly detailed and technical, and statements made during questioning can be used to support enforcement actions, civil penalties, or criminal charges.
- A lawyer can ensure that your responses are clear, legally sound, and do not unintentionally expose you or your business to further liability.

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Corporate Crime & Investigation Services

Areas of Expertise - Corporate Crime and Investigation Matters

Regulatory Compliance and Risk Management

Practice Area - Corporate Law

Corporate Crime & Investigations

Engage our Experts

Special Counsel

Dragan Gasic

Partner

Greg Leather

Special Counsel

Monica Allen

Associate

Michael Wells

Senior Associate

Isabella Orlic

Legal Affairs Strategist

Noami Shivaram

Our Approach

Corporate Crime & Investigations FAQ

What should I do if my business is under investigation by a regulatory body such as ASIC or the ACCC?

Our expertise. Your call.

enquiries@blackbaylawyers.com | (02) 8005 3077

Level 17, 20 Martin Place, Sydney, NSW 2000 Australia

Corporate Crime &
Investigations

Michael
Wells

Noami
Shivaram

Our expertise.
Your call.