Best Practice Disciplinary and Regulatory Enforcement Processes

The Hayne Royal Commission into the banking sector made a clear call for regulators to take a more proactive approach in enforcing compliance with regulatory regimes.  This call has been taken up by regulators at the Commonwealth, State and Local Government levels.

However, there may be potential pitfalls to be overcome in order to take effective regulatory action.

Contemplating and undertaking regulatory activity is a highly challenging and complex legal area.  Given these challenges and risks, preparation is key and it is essential that officers manage the steps leading up to taking regulatory action effectively.

This workshop explores the fundamental elements necessary for preparing a regulatory action to achieve the best outcome and provides guidance on the conduct of a regulatory prosecution in Courts and Tribunals and internal regulatory processes.

Who should attend?

• Government compliance and enforcement officers
• Government legal officers
• Government officers that are involved in regulatory, disciplinary or enforcement processes.

What we will cover

• The types of conduct for which regulatory action can be taken
  
  
• Consideration and confirmation that the regulatory action should be taken including covering:
  • The use of compliance and infringement notices under specific statutory regimes;
  • The DPP Prosecution Guidelines; and
  • Model Litigant Principles.

• Practical tips to apply in investigations
  • We will reach out to attendees prior to your session to tailor these tips to your statutory framework but may include by way of example:
    • Powers of entry.
    • Service requirements.
    • Statutory time frames for investigations.
    • Tips for exercising coercive powers.
• What to keep in mind in preparing your evidence for a prosecution in Courts and Tribunals including consideration of the following:
  • The test for relevance.
  • Use of hearsay evidence.
  • Application of the “best evidence rule”.
  • Recent developments in taking regulatory action.
  • Pitfalls, tips and tricks.
• Procedural fairness issues
  • Consider the requirements of procedural fairness in regulatory and disciplinary matters including show-cause processes.
  • Identify what information needs to be provided before regulatory decision is taken.
  • Suggestions for drafting preliminary views and best practice for providing procedural fairness including having regard to the Human Rights Act 2019 (Qld).
• Making the regulatory decision/taking enforcement action
  • Effective drafting of allegations.
  • Tips for providing an appropriate statement of reasons.
  • What to address if the decision is challenged.

What you will learn

• You'll leave this workshop with the skills and practical tips to advise on and prepare for taking regulatory action.