Regulatory Investigations

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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.

Essential to managing these risks is identifying at the outset where the investigation may lead, and the route it is likely to take. Allens' regulatory investigation lawyers are experienced in the early identification of the key areas of risk. We then bring our significant experience to bear to address these risks in such a way as to minimise the disruptions and uncertainties to the business. Where litigation is unavoidable, whether pursued by regulators, enforcement agencies or private parties, we conduct it rigorously, innovatively and efficiently.

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 ASIC, the ASX, APRA, the ATO, the ACCC, AUSTRAC, the AFP, Customs and DFAT and State and Territory-based agencies. In dealing with these regulators, and conducting internal investigations, our lawyers consider and advise in relation to how to manage associated risks, such as investigations by liquidators and third party claims, including class actions.

We also have extensive experience advising in relation to Royal Commissions and Senate inquiries.