About Caroline Marshall
Caroline represents corporations and individuals in significant regulatory investigations and inquiries, both domestically and internationally. She has acted for clients facing royal commissions and inquiries, as well as regulatory enforcement by AUSTRAC, ASIC and the ACCC.
She has particular experience advising on bribery and corruption, money laundering, sanctions, and tax fraud cases and is regularly asked by clients to assist in governance, remediation and compliance matters. Her work covers the full regulatory lifecycle, from regulatory reform to regulatory strategy, compliance, enforcement and investigations.
She has conducted numerous internal investigations for clients in a variety of industries, including financial services, pharmaceuticals, manufacturing, technology, media and telecommunications, energy and natural resources. She has extensive experience advising on remediation and compliance work, and independent monitorships that follow regulatory inquiries and enforcement.
Prior to relocating to Sydney in 2017, Caroline worked in London and Hong Kong, where she acted on anti-corruption, fraud and sanctions investigations brought by the US Department of Justice (DOJ), the US Securities and Exchange Commission, the US Office of Foreign Assets Control (OFAC) and the UK Serious Fraud Office.
Ranked as a 'Future Leader in Investigations' by Who's Who Legal since 2019, she is well regarded for her strategic and practical advice.
Notable representations include:
- acting for Crown Resorts Limited and its subsidiaries in a range of matters including the Victorian and Western Australian Royal Commissions, an enforcement investigation by AUSTRAC and remediation following the NSW Casino Control Act Inquiry
- acting for Westpac in relation to AUSTRAC's investigation and subsequent civil penalty proceedings
- an international bank in relation to a foreign bribery investigation by the US DOJ and SEC relating to its hiring practices in Asia, the Middle East and Europe, and related investigations by authorities in Hong Kong
- representing Société Générale in an investigation by OFAC for violations of US sanctions laws
- acting for three private Swiss banks in the US DOJ's Program for Non-Prosecution Agreements for Swiss Banks, a voluntary disclosure program for Swiss banks in relation to tax-related offences under US law
- advising on numerous internal whistleblower complaints and subsequent internal investigations.
As part of her pro bono work, she has represented seven refugees in High Court applications to prevent their removal back to offshore detention on Manus Island, and has advised human rights and anti-tobacco campaigns organisations.