Best practice disciplinary and regulatory enforcement processes

Overview

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 and agency 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.

Event Details

Dates: 8 May, 17 September

Time: 8.45am for 9.00am - 3.00pm

Venue:
Clayton Utz Brisbane

Cost: Inc GST
$1,688 per person
$1,519 per person if booking two weeks before the workshop
$1,435 per person if in a group of three or more

Further information:
Phone: 1800 882 110
Email [email protected]

Support when you need it most

As a participant of our program you'll have comfort in knowing that you can depend on us for ongoing support. Whether it be two weeks or two years after the workshop, you can call us at any time for a short, no-cost consultation.

Recommended CPD point allocation: 7 points  (excluding WA).
If this particular educational activity is relevant to your immediate or long term needs in relation to your professional development and practice of the law, then you should claim one CPD unit for each hour of attendance, refreshment breaks not included. Please contact your Professional Body for your state.