Regulatory Investigations

Increased regulatory scrutiny of corporate conduct means it is vital that regulatory investigations are handled appropriately. Our market-leading regulatory investigations lawyers are well known for their ability to manage the risks posed by such investigations, including reputational risk and the risk of ensuing litigation.

Allens has a proven track record of providing sophisticated and strategic advice to companies facing regulatory investigations, and in successfully resolving any resulting litigation. Our team harnesses its client and industry knowledge and understanding of the priorities, objectives and approaches of the regulators to resolve investigations effectively.

Importantly, given the increasing cooperation between regulators around the world, Allens' integrated alliance with Linklaters and its global presence enables it to coordinate responses to regulatory investigations across jurisdictions.

Allens has advised banks and other financial markets participants, and companies across all sectors, in all aspects of regulatory investigations, from strategic planning and advice in relation to potential investigations, applications for immunity and leniency, advising on self-reporting obligations and their limits, to 'dawn raids', alleged cartel conduct, the compulsory production of documents, compulsory interviews and examinations of senior executives, and in defending enforcement proceedings and follow-on litigation, including private proceedings. We have done so in relation to a range of issues and areas of law, including insider trading and market manipulation allegations, continuous disclosure obligations, foreign corruption and bribery, alleged cartel conduct and tax related investigations.

Our team draws upon its strong relationships with relevant regulators and enforcement agencies, including:

  • Australian Securities and Investments Commission (ASIC)
  • Australian Stock Exchange (ASX)
  • Australian Prudential Regulatory Authority (APRA)
  • Australian Taxation office (ATO)
  • Australian Competition & Consumer Commission (ACCC)
  • Australian Transactions Reports and Analysis Centre (AUSTRAC)
  • Australian Federal Police (AFP)
  • Customs agencies
  • Commonwealth Department of Foreign Affairs & Trade (DFAT)
  • State and Territory-based agencies.