Regulatory compliance and investigations in Australia

Allens

The ‘client focused’ practice at Allens ‘goes the extra mile’ and is praised for its ‘strong team depth’. Its range of expertise includes consumer and regulatory, financial services regulation, risk and compliance in addition to disputes and investigations. Among its areas covered are anti-bribery, AML, sanctions, privacy, health, safety, environment, employment and financial services investigations. Melbourne-based Rachel Nicolson is reputed for her compliance, independent investigation and regulatory enforcement work and heads the practice alongside Michelle Levy and Jacqueline Downes. Guy Foster provides extensive experience in relation to public and private inquiries and investigations while new partner Chris Kerrigan specialises in bribery and corruption matters. The team advised a number of financial services clients in relation to the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry. Named lawyers are based in Sydney unless otherwise stated.

Practice head(s):

Jacqueline Downes; Michelle Levy; Rachel Nicolson

Other key lawyers:

Fiona Crosbie; Guy Foster;

Testimonials

‘Strong team depth and are client focused.’

‘They go the extra mile.’

‘Depth of the team. Operating structure allows the firm to effectively manage both large and small matters in a cost effective manner.’

‘Warwick Newell has a sensible approach which helps move matters forward.’

Work highlights

  • An ongoing role in advising OZ Minerals’ on its anti-bribery compliance programme.
  • Advised a number of financial services clients in relation to the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry. This includes responding to notices, preparing submissions, providing strategic advice and working collaboratively with the Bank to proactively prepare for the Commission’s schedule of hearings.
  • Following a post-acquisition anti-bribery and corruption review of the operations of Sierra Rutile Limited the team coordinated an investigation into the ‘red flags’ raised and has since liaised with authorities in the UK, Sierra Leone and Australia in relation to the status of the investigation.
  • Providing legal and strategic advice separately to both Melbourne and Sydney Airports in relation to the Productivity Commission, and assisted in drafting submissions to the Commission.

Clayton Utz

The results delivered by Clayton Utz ‘could not be better’. The practice enjoys a market leading reputation in the financial services regulation and anti-bribery and corruption arenas providing advice on a range of collateral regulatory regimes pertaining to anti-money laundering, tax issues and marketing activities and also guides clients on specific corporate transactions and third-party agency arrangements. Nicholas Mavrakis is an expert in the contentious aspects of financial services regulatory issues and is highly recommended alongside Ross McInnes who notably acted for the Commonwealth Bank of Australia in the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry. Narelle Smythe  is a veteran in financial services regulation, privacy and enforcement and special counsel Vanessa Pallone is an expert on fund management and superannuation. The practice is distinguished through its integrated forensic and technology services department providing expertise in the mining, logistics, IT, fisheries and agribusiness sectors. Named lawyers are Sydney-based.

Practice head(s):

Narelle Smythe; Matthew Daley; Nicholas Mavrakis; Ross McInnes; Tobin Meagher; Gary Berson

Other key lawyers:

Vanessa Pallone

Testimonials

‘Very personable and easy to work with. The work product and results could not be better.’

Key clients

Commonwealth Bank of Australia

Australia and New Zealand Banking Group Limited

Simon Poidevin

PSP Investments

Westpac Banking Corporation

Work highlights

  • Continuing to advise ANZ on the implementation of the enforceable undertakings as well as the related US class action concerning BBSW trading by ANZ and other banks in the United States.
  • Advised CBA in relation to all aspects of APRA’s prudential inquiry into CBA’s governance, culture and accountability frameworks, particularly the bank’s approach in dealing with non-financial risks.
  • Acting for Rio Tinto Limited, in proceedings before the Federal Court of Australia commenced by ASIC in 2018 concerning an alleged failure to promptly deal with an asset in accordance with the relevant international accounting standards and alleged breaches of the company’s financial reporting obligations.
  • Acting for Simon Poidevin, the Managing Director of Corporate Broking in the Equity Capital Markets division of Bell Potter Securities Limited, in proceedings before the Administrative Appeals Tribunal for a full merits review of ASIC’s decision to make a banning order under sections 920A and 920B of the Corporations Act.
  • Acting for Westpac and FlexiGroup in connection with its compliance with far reaching legislative changes on credit cards (including in relation to the way interest is calculated and the way credit cards are originated and administered).

Herbert Smith Freehills

Herbert Smith Freehills enjoys a ‘great profile in the market’ and is reputed for its ‘great industry experience’ and ‘pro-active advice’. The team handles regulatory investigations and disputes in the financial services sector and also assists clients on complex, cross-border regulatory matters and investigations in addition to white-collar crime compliance. Luke Hastings and Andrew Eastwood are market leaders in the contentious regulatory space while Michael Vrisakis is a go-to name in the financial services regulation field. Other standout names include Grant Marjoribanks  and at the junior end, senior associate Christine Wong both of whom focus on regulatory enforcement and routinely advise on anti-bribery and corruption issues. In a market leading highlight, the group served as sole advisor to National Australia Bank in the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry.  Named lawyers are located in Sydney while others operate from Melbourne and Brisbane.  

Practice head(s):

Luke Hastings; Andrew Eastwood; Cameron Hanson; Michael Vrisakis; Fiona Smedley; Tony Coburn; Grant Marjoribanks

Other key lawyers:

Christine Wong;

Testimonials

‘Great profile in the market and great industry experience’.

‘Pro active advice and excellent client service.’

Key clients

National Australia Bank Limited

Commonwealth Bank of Australia

Australia and New Zealand Banking Group

Westpac Banking Corporation

Citi

Macquarie Bank

Goldman Sachs

Deutsche Bank

UBS

Bank of America Merrill Lynch

Credit Suisse

JP Morgan

Morgan Stanley

TAL Superannuation Limited

Suncorp Life & Superannuation Limited

Financial Services Council

BHP Billiton Limited

Tabcorp Holdings

Work highlights

  • Advising ClearView in relation to an ASIC investigation into potential unlawful hawking activity by ClearView.
  • Acting for MLC and NULIS in ASIC civil penalty proceedings  in relation to the industry wide “fees for no service”.
  • Advising Citigroup on a landmark criminal cartel prosecution brought by the ACCC and the CDPP related to the client’s participation in an institutional placement by an ASX-listed entity.
  • Advising Rio Tinto on an AFP investigation into alleged bribery and corruption in Guinea.

King & Wood Mallesons

King & Wood Mallesons recently acted for Wespac in proceedings commenced by ASIC in the Federal Court which alleged that the client contravened the National Consumer Credit Protection Act in relation to 260,000 mortgages. The practice is a leader in the financial services regulation space and assists commercial and investment banks, fund and wealth managers and insurers on the full range of regulatory investigations and related litigation. Alexander Morris  is a star name in the financial services field and is also recommended for corporate governance issues. He heads the practice from Sydney alongside Jim Boynton. Nathan Hodge is another name to note for his expertise in financial services, superannuation, life insurance and funds management. Royal Commissions FinTech, regulatory developments and product design are all areas where the group demonstrates prowess and experience.

Practice head(s):

Alexander Morris; Jim Boynton

Other key lawyers:

Katherine Forrest; Kate Jackson-Maynes; Nathan Hodge;

Key clients

National Australia Bank

Australia and New Zealand Banking Group

Commonwealth Bank Group

Westpac Banking Corporation

Reserve Bank of Australia

Depositary Trust & Clearing Corporation

Australian Payments & Clearing Association

Australian Securities Exchange

Investment Banks: Citigroup; Goldman Sachs; Morgan Stanley; Macquarie; Deutsche Bank

AMP

Suncorp

IAG

Domestic Superannuation Funds: Australian Super; REST Industry Super; First State Super, CBUS and Australia’s Sovereign Fund: The Future Fund Board of Guardians

Pepper

General Electric

MLC

ANZ Onepath

Colonial

BT Financial group

Work highlights

  • Treasurer Scott Morrison appointed the team to lead the review that advised the government on the appropriate model for an “open banking” regime in Australia, including potential legislation and an implementation framework.
  • Engaged to advise and represent each of the 14 clients in relation to the Royal Commission’s enquiries.
  • Advised Suncorp on its debut offer of floating rate, unsecured, subordinated notes which raised A$600m from institutional and other wholesale market investors.
  • Representing BCML in litigation concerning an entitlement offer which BCML implemented by issuing new partly paid units in the Fund in November 2009 to cure covenant breaches in respect of the Fund’s debt finance facility.
  • Representing NAB in a consumer class action against NAB and its former insurance business MLC alleging unconscionable conduct in relation to consumer credit insurance.

Allen & Overy LLP

Allen & Overy LLP is engaged for a broad array of compliance and investigation work with core strengths in anti-bribery and corruption, economic sanctions and anti-money laundering, regulatory support and transaction due diligence. Key partners are based in Sydney though the practice is active throughout the Asia Pacific region. The practice also regularly handles matters with elements in the US, UK and other jurisdictions with Jason Gray recently acting for a US-based consumer goods company on two bribery-related investigations in India and another in Russia. Gray heads the anti-bribery and corruption, white collar crime and government enforcement practices while Jason Denisenko oversees regulatory financial services matters; John Samaha serves as practice head of the litigation and contentious regulatory departments.

Practice head(s):

Jason Gray; Jason Denisenko; John Samaha

Key clients

U.S. headquartered private equity firms

U.S. listed fast moving consumer goods multinational

Australian stock-exchange listed resources companies

Australian-stock-exchange listed insurance company

Multi-billion dollar family-owned multinational food and beverage company

U.S.-listed multinational pharmaceutical company

Belgian multinational insurance company

Japanese multinational trading house

Japanese multinational beverage company

Japanese oil and gas company

Nordea

Guy Elliott (former CFO of Rio Tinto Limited and Rio Tinto plc)

Work highlights

  • Acting for a client in relation to the conduct of “sell-side” FCPA/ABC due diligence in relation to the potential sale of an approximately $600m stake of the client (which has a valuation of over $3bn) to a U.S.-listed multinational company.
  • Engaged by an ASX-listed resources client to investigate and advise with respect to a number of issues that arose in the client’s operations in Madagascar.  This has involved advising in relation to Australian criminal law exposure and potential self-reporting to Australian authorities.
  • Engaged by a major U.S.-headquartered private equity firm, to conduct FCPA/ABC due diligence on its $180m investment in Hong Kong’s first institutional co-living rental accommodation platform.
  • Engaged by an ASX-listed client to advise on the potential bribery and corruption implications of serious financial misconduct engaged in by one of its senior managers, and the potential implications of that conduct in relation to potential financial claims against the client by one of its shareholders.
  • Engaged by the client to conduct anti-money laundering and anti-bribery and corruption due diligence on a potential acquisition target in Sri Lanka.

Ashurst

Ashurst's financial services regulatory practice is headed by the highly experienced Jonathan Gordon who recently represented Barclays Bank and Judo Capital on obtaining banking authorisations. The practice is engaged for all market segments including matters across credit, payment systems, funds, superannuation, custody, insurance regulations and derivatives. Contentious and non-contentious affairs are handled for both domestic and international banks relying on the team for all regulations pertaining to licensing, conduct and disclosure. Recommended counsel Silvana Wood recently advised ANZ on its implementation of the Banking Executive Accountability Regime while senior associate Nicky Thiyavutikan is an up and coming name in the licensing and authorisation space. Named lawyers are Sydney-based with other key names located in Melbourne. Rani John, who has joined the team from DLA Piper  ‘is a leader in the regulatory space’ and ‘presents issues calmly, succinctly and with an eye to sensible and practical solutions’.

Practice head(s):

Jonathan Gordon

Other key lawyers:

Silvana Wood; Nicky Thiyavutikan; Corey McHattan; Philip Trinca;

Testimonials

‘Rani John is a leader in this area. She is tenacious, thorough, and prepared to make recommendations – she is not one for sitting on the fence’.

Key clients

ANZ

Commonwealth Bank of Australia

UBS

Judo Capital

Australian Finance Industry Association

Westpac Banking Corporation

National Australia Bank

AxiCorp

Commonwealth Bank of Australia

Bank of America Merill Lynch

Morgan Stanley

Macquarie Bank

eToro

JP Morgan

Work highlights

  • Acting on an ASIC investigation of UBS’s on-market buyback practices, particularly with respect to compliance with Rule 3.3.1(b) of the ASIC Market Integrity Rules (ASX Market) 2010, as in force at the time.
  • Advised Judo Capital on its establishment as a bank in Australia – one of the first of the new challenger banks – targeting the SME sector.
  • Advised JP Morgan on all aspects of its implementation of the Banking Executive Accountability.
  • Assisted NAB with the development of a number of new product offerings or proposed product offering over the past year.
  • Engaged by the AFIA to assist it to develop and implement a new Code of Conduct for the online lenders, together with a loan disclosure ‘Smartbox’ to promote consistent disclosure of loan information by Code members’ to their customers.

Corrs Chambers Westgarth

At Corrs Chambers Westgarth, the anti-bribery and corruption and financial services regulation departments assist clients on a broad range of state and federal government inquiries, regulatory investigations, white-collar prosecutions and Royal Commissions. Forming the client roster are the big four banks, international accounting firms, global corporations in addition to state and government entities. Team heads Mark Wilks and Simon Johnson are based in Sydney while the Melbourne office has been bolstered by the arrivals of the 'outstanding'  Craig Phillips and Abigail Gill from Patrick & Associates and BHP respectively. The Commonwealth Bank of Australia recently appointed the group to conduct a review of Part A of its Anti-Money Laundering and Counter-Terrorism Financing Programme.

Practice head(s):

Mark Wilks; Simon Johnson

Other key lawyers:

Michael Chaaya; Kirsty Sutherland;

Testimonials

‘Partners Craig Phillips and Abigail Gill and consultant Annette Hughes are all outstanding. Special Counsel Elena Stojcevski is outstanding as well.’

‘Kirsty Sutherland has considerable experience in the area.’

Key clients

eBay

PayPal

AustSafe Pty Ltd (AustSafe Super); IS Industry Superannuation Pty Ltd (Intrust Super); QSuper Board (QSuper); Sunsuper Pty Ltd (Sunsuper Superannuation Fund)

Bank of China

Work highlights

  • Appointed by the Commonwealth Bank of Australia to conduct an independent review of Part A of the client’s Anti-Money Laundering and Counter-Terrorism Financing Programme in the wake of its A$700m of breaches.
  • Advised Bank of China on a review of its small business lending documentations for compliance with the unfair contract terms regime and assisted with a restructuring of the bank’s basic deposit products to minimise regulatory disclosure impacts.
  • Assisted a number of superannuation clients in connection with the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry, advising them on their responses to Information Requests and Notices to Produce issued by the Commission.

Gilbert + Tobin

Gilbert + Tobin notably advised Westpac, the Australian Banking Association and the Insurance Council of Australia in relation to the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services. In addition to financial services, the team handles a range of civil and criminal investigations and enquiries, representing clients from industries including retail, logistics and energy. Richard Harris is hailed for his experience in handling ‘major regulatory investigations and litigation’ and heads the practice alongside Elizabeth Avery. They operate from Sydney alongside recently promoted partner Philippa Hofbrucker, a specialist in front-end financial regulation and compliance advice.

Practice head(s):

Richard Harris; Elizabeth Avery

Other key lawyers:

Andrew Floro; Luke Woodward; Gina Cass-Gottlieb;

Testimonials

‘Richard Harris’ experience in this area is second to none.  He provides huge value at the firm. Having led major regulatory investigations, litigation and the Royal Commission, his experience is unrivalled.’ 

Key clients

Australian Banking Association

Clearview Wealth Management

Commonwealth Bank of Australia

Hong Kong Monetary Authority

Insurance Council of Australia

NIB Health Funds Limited

Westpac Banking Corporation,

Virgin Australia

Microsoft

Expedia

Kawasaki Kisen Kaisha (K-Line)

BT Financial Group

RAMS

Centuria

JP Morgan

ASX Limited

Work highlights

  • Advising the Commonwealth and its departments and agencies on its response to the Royal Commission into Aged Care Quality and Safety.
  • Acting for the State of Victoria in relation to the Royal Commission into the Management of Police Informants.
  • Acting for Westpac in defending the high profile ASIC prosecution concerning alleged unconscionable conduct and market manipulation of the Bank Bill Swap rate.
  • Advising a major financial institution in relation to the ‘Fee for no service’ investigation and prosecution.

Minter Ellison

Minter Ellison is active on anti-bribery, corruption and other corporate crime matters in addition to business integrity, risk management, compliance issues and regulatory investigations. In Sydney, James Beaton serves as practice head and is well-versed in public enquiries. He recently advised a number of financial services organisations, including ING, IAG and MetLife, in relation to their appearance before the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services. The practice has experience in dealing with all key regulators including ASIC, ICAC, ASX and the ATO.

Practice head(s):

James Beaton

Other key lawyers:

Ross Freeman;

Work highlights

  • Representing a number of aged care service provider clients summoned to appear before the Royal Commission into Aged Care Quality and Services.
  • Acting for Deloitte in their capacity as provisional liquidators and subsequently liquidators appointed to the Plutus Group.
  • Sole legal representative of a small expert group supporting the Australian Commonwealth Government’s ASIC Enforcement Review Taskforce.
  • Advising CBA on an interest rate benchmark manipulation investigation and defence of ASIC enforcement.
  • Assisting CBA with the implementation of Australia’s Banking Executive Accountability regime.

Norton Rose Fulbright

The team at Norton Rose Fulbright possesses expertise in regulatory approvals and clearances, regulatory audits, reviews, investigations and enforcements as well as issues such as fraud investigations and recovery actions. It is also well placed to provide strategic risk management advice and operates across the financial services, life sciences energy and natural resources, transport and telecommunications sectors. The team also advises regulators on investigation and enforcement matters. Practice co-head Scott Atkins acted for liquidators Grant Thornton in its trans-national investigation and recovery action for allegedly misappropriated funds. Grant Bonner operates from Sydney alongside Thornton and they head the department alongside Melbourne-based Peter Cash.

Practice head(s):

Scott Atkins; Grant Bonner; Peter Cash

Other key lawyers:

Martyn Taylor; Andrew Riordan; Abigail McGregor;

Key clients

ACCC

Accenture

Air Trunk

AMP Capital

Aon Hewitt

Asian Development Bank

Australian Catholic Super

AustralianSuper

Australian Securities and Investment Commission

BDO

BP

BT Financial Group

Caltex

Chubb Insurance Australia Ltd

Citibank

Commonwealth Bank of Australia

Commonwealth Department of Defence

Commonwealth Department of Health

Deloitte

Dick Smith

Essendon Fields Pty Ltd

GAIN Capital

GlaxoSmithKline Plc

Grant Thornton

Hansen Yunken

HostPlus Super

HSBC

Janus Henderson

Jones Lang LaSalle

KordaMentha

Local Government Super

LendLease Group

Linfox

Macquarie Bank Limited

Mercer

MLC Limited

National Australia Bank

NGS Super

North of England P&I Association Limited

Qantas Loyalty

TAL Life Limited

Thorn Group

Water NSW

Westpac Banking Corporation

Vodafone Hutchison

Work highlights

  • Acting for a client following a dawn raid at one of their consultant’s offices in South East Asia by the the Corruption Eradication Commission (KPK), the local corruption regulator.
  • Acting for a large number of aged care providers to assist them with their responses to the Royal Commission into Aged Care Quality and Safety.
  • Embedded a team of lawyers into BT Financial Group (BT) to assist in responding to ASIC notices, requests for information and investigations.
  • Acting for ASIC in its prosecution in the Federal Court of alleged contraventions of financial services laws by sellers of financial derivatives to retail investors.
  • Advising on a client’s review and remediation programme in relation to the ‘fee for no service’ issue, a major focus of Australia’s recent Banking Royal Commission.

Baker McKenzie

Baker McKenzie is well versed in acting on multi-jurisdictional anti-corruption and bribery assignments, white-collar fraud actions as well as regulatory matters in the healthcare and financial services sectors. Georgie Farrant  heads the practice and is an expert on areas including whistle blowing, anti-money laundering and regulator investigations. Her team also routinely assists clients with anti-bribery and anti-corruption risk management, from both a domestic and international perspective. Also based in Sydney is recommended senior associate Andrew Emmerson; he is developing a broad practice with niche expertise in import control and trade sanctions.

Practice head(s):

Georgie Farrant

Other key lawyers:

Andrew Emmerson;

Clyde & Co LLP

Recommended for its ‘outstanding lawyers and deep experience in regulatory compliance and investigations’, Clyde & Co LLP is engaged for compliance and auditing reviews, investigations, examinations and related litigation in addition to anti-bribery, corruption and sanctions-related matters. The practice demonstrates broad industry expertise, operating across sectors including insurance, financial and professional services, local government, infrastructure, education and retail. In Sydney, Avryl Lattin is a specialist in international regulatory issues and heads the practice alongside Michael Tooma whose expertise includes major safety incidents and investigations.

Practice head(s):

Avryl Lattin; Michael Tooma

Other key lawyers:

John Moran; Janette McLennan; Jacinta Studdert; Jonathan Wyatt;

Testimonials

Outstanding lawyers with deep domain experience in regulatory compliance and investigations.

Dean Carrigan is an outstanding and capable lawyer, Yvonne Lam is a young, highly capable lawyer with outstanding enthusiasm and project management skills.’

‘The team were well resourced and worked incredibly hard’.

‘Richard Berkhan provided clear, sound advice and guidance on the legal requirements, while at the same time maintaining a commercial and practical approach. His commitment was outstanding.

 

 

Key clients

Chubb

Freedom Insurance

Karim Hannawe

Laing O’Rourke Australia Construction Pty Ltd

Shire of Kellerberrin

Shire of Halls Creek

Work highlights

  • Assisted Freedom Insurance with its response to the FSRC’s requests for information and attendance at the public hearings as a nominated case study for the life insurance sector.
  • Acted as global breach counsel advising Kathmandu on data breach notification regulations across the world.

Dentons

Dentons’ anti-bribery and corruption team advises on front end matters and also routinely litigates on all forms of government enquires including federal and state investigations, criminal trials and enforcement actions. Ben Allen heads the practice and is well-regarded for fraud control, cyber security and data breach issues, among others. The firm is also home to a financial services regulation department headed by Amber Warren. Her team advises major banks, private lenders, mortgage brokers, originators and aggregators on the full range of regulatory and compliance matters. Named lawyers are Sydney-based with other key names located in Melbourne.

Practice head(s):

Ben Allen; Amber Warren

Other key lawyers:

Elise Ivory; Robyn Chatwood;

Key clients

Beam Mobility Holdings Pte Ltd

Foundation for Development Cooperation

Gartner

Go Network

IntelliHUB

Commonwealth Bank of Australia / Bankwest

ING Direct

Macquarie Bank

RESIMAC

Pepper Australia

Industrial and Commercial Bank of China

Bank of China

Work highlights

  • Providing strategic advice to Beam Mobility Holdings related to cybersecurity and GDPR compliance for market for electric scooters into Australia.
  • Providing strategic advice on big data and cybersecurity to a new medical device start up in Australia.
  • Advised Gartner on virtual private network (VPN) laws in China.
  • Assisted Oversea Chinese Banking Corporation Limited and OCBC Wing Hang Bank Limited (together OCBC) in the purchase of National Australia Bank’s Private Wealth business in Singapore and Hong Kong.
  • Advised GoNetwork on cybersecurity aspects of a new blockchain platform.

DLA Piper

DLA Piper’s team possesses ‘a very good understanding of Australian regulatory requirements’ with a full-service offering that includes corruption, bribery, money laundering, sanctions, fraud, risk management, whistleblowing, financial irregularities and securities issues. Natalie Caton in Brisbane is a name to note and Rani John has left the practice to join Ashurst.

Other key lawyers:

Natalie Caton; Jonathon Ellis;

Testimonials

‘Very practical and client oriented with a very good understanding of Australian regulatory requirements.’

‘The DLA Piper team offers that expertise, as well as an ability to bring international insights and learning to the table.’

‘DLA Piper have a depth of understanding of my industry as well as a pragmatic and user-friendly client experience provided by the partners and lawyers’.

Key clients

Bank of Queensland Limited

H.R.L. Morrison & Co Private Markets Pty Ltd

Batchfire Resources Pty Ltd

Nine Entertainment Group

Work highlights

  • Assisted a major financial services group to prepare responses to the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry.
  • Assisting the client, a multinational, ASX-listed FMCG franchisor, with the development and execution of an integrity based compliance programme.
  • Assisting a large venture capital firm to update its AML program.
  • Assisted Batchfire Resources deal with the fall out of a fraudulent instruction from a service provider.
  • Assisting the client, a multinational food exporter, with the development of an anti-bribery and corruption programme for its operations in Vietnam.

Lander & Rogers

Spread across Sydney, Melbourne and Brisbane, Lander & Rogers represents both public and private sector clients in the insurance, health, financial services and superannuation sectors. Its service includes advising regulatory bodies on their administrative decisions, handling regulatory appeals and the implementation of regulatory schemes, acting on factual and workplace investigations and also quasi-criminal and statutory prosecutions. Sydney-based Mark Lindfield heads the practice which recently advised Gallagher on the financial services licensing issues arising from its acquisition of various broking and agency businesses.

Practice head(s):

Mark Lindfield

Other key lawyers:

Andrew Forbes; Terry Brigden;

Key clients

Auto & General Holdings

Compare the Market

Medical Insurance Group Australia

The Warranty Group Australasia / Assurant

Capricorn Mutual

Mercedes-Benz Financial Services

Lombard Insurance Company

QBE Insurance (Australia)

Oakhurst Insurance Company

American Express

Tokio Marine Kiln

TAL Life

Arthur J Gallagher / Gallagher Benefit

Commonwealth Bank of Australia

IOOF Holdings

Work highlights

  • Acting for QBE Insurance in the acquisition of the Realcover Insurances professional indemnity insurance business.
  • Advising Medical Insurance Australia in negotiations with the Commonwealth for changes to, and an extension of, the Commonwealth schemes protecting doctors and midwives against medical malpractice claims.
  • Acting for the acquirers of Assetinsure’s Australian insurance operations to obtain regulatory approvals in difficult circumstances where the vendor group is in liquidation.

K&L Gates

K&L Gates' team handles the full range of regulatory-related inquiries, investigations and prosecutions, including those handled by ASIC, ICAC, APRA, AUSTRAC, IBAC and the ACCC. Bribery, fraud and financial services regulation are key components of the practice which demonstrates a broad breadth of industry expertise. Ayman Guirguis possesses specialist knowledge of the IT, manufacturing, agribusiness, energy and construction industries with the team also active in sectors such as telecommunications, pharmaceutical and health care, professional services and retail. Daniel Knight  who recently made partner, assists banks, financial advisers and fund managers, among others, in confronting the full range of regulatory challenges.  

Practice head(s):

Ayman Guirguis

Other key lawyers:

Mark Dobbie; John Kelly;

Key clients

Avis

BlueScope Steel

Campbell Arnott’s

Continental

EnergyAustralia

ExxonMobil

Honda Australia

HP

IUG International

Medibank

Nutrien/Landmark

Orix

Sanitarium

Tennis Australia

UBS

Visy Industries

Work highlights

  • Advising Pacific Smiles Group and the contractor dentists to which it provides services on potential agreements that may be entered into regarding pricing for dental procedures to patients and promotions and seeking authorisation for such collective action.
  • Advised BT Financial Group on its ability to provide wealth management services to clients located outside Australia, with a particular focus on clients in Japan, New Zealand, China, United Kingdom and Taiwan.
  • Advising Visy on its standard terms and conditions and responding to an investigation into Visy’s terms and condition.
  • Providing guidance to a company located in Singapore and Melbourne in relation to the regulatory and licensing implications for the introduction of an enhanced payments offering into over 30 jurisdictions around the world.
  • Advising Conti on its acquisition of Kmart Tyre and Auto and obtaining clearance from the ACCC for the acquisition and from the Government for the acquisition by a foreign company.

Piper Alderman

The team at Piper Alderman is hailed for its ‘extensive practical experience’ and ‘excellent attention to detail’. Its workload encompasses regulatory compliance, corporate investigations, anti-bribery and corruption, whistle-blower investigations, workplace safety, corporate governance and white-collar crime. Tom Griffith ‘provides sound advice and guides expertly’, he heads the practice alongside James Dickson from Adelaide with other key names based in Sydney. Andrea Beatty is noted for advising on all aspects of financial services regulation.

Practice head(s):

Tom Griffith; James Dickson

Other key lawyers:

Andrea Beatty;

Testimonials

‘The Piper Alderman team has extensive practical experience in the Financial Services and the Payments Industry generally.’

‘Andrea Beatty and her colleagues have extensive industry experience having worked with numerous financial services and payment system participants over many years. This experience provides them with significant insight into the practical considerations that apply when assisting their clients.’

‘Very competent, professional, adhere to time frames and provide great leadership in managing large volumes of work, working in partnership with in-house legal. Excellent attention to detail and accuracy in cost estimates and invoicing’. 

‘Tom Griffith provides sound advice, was always available, very easy to work with, and guided us expertly to achieve our deadlines.’

Key clients

Australian Health Practitioners Regulation Agency

Australian Settlements Limited

MarbleBlue Finance

The National Council of the Young Men’s Christian

Associations of Australia (YMCA)

Work highlights

  • Instructed to prepare a master service agreement for Australian Settlements Limited to provide their existing and future clients with regard to all services ASL provides.
  • Representing former director of GetSwift, Brett Eagle, in regulatory proceedings commenced by ASIC against GetSwift Limited and several of its directors.
  • One of three law firms in South Australia on the Australian Health Practitioner Regulation Agency  legal services panel. The team advises on, and appear regularly in, appeals by practitioners against Board decisions.
  • Acting for the Australian National Kennel Council Limited in relation to an application for Authorisation (non-merger) to the Australian Competition and Consumer Commission.
  • Acting for Australian Settlements Limited on the conversion of subordinated loans to Tier 1 capital.

Squire Patton Boggs

Clients of Squire Patton Boggs stem from sectors such as government, hospitality and leisure, energy and resources, education, transport and manufacturing. They rely on the team for representation on statutory approvals, corporate governance, compliance and regulatory risk, prosecution, investigations and the full range of enforcement proceedings. Perth-based Margie Tannock heads the practice and advises clients on resolving regulatory risks across all aspects of corporate decision making.

Practice head(s):

Margie Tannock;

Other key lawyers:

Michael Fergurson; Bruno Di Girolami; Graeme Slattery;

Key clients

Australian Leisure Holdings (ALH)

Cockburn Cement Ltd (CCL)

Eastern Goldfields Ltd

Flight Centre

Foraco Pty Ltd

Government of the Republic of Fiji

Health Insurance Fund of Australia (HIF)

Racing and Wagering Western Australia (RAWA)

Shire of Leonora

Subsea 7

Woolworths Ltd

Work highlights

  • Retained to defend a longstanding Sydney based external administrator in relation to an investigation commenced by ASIC into alleged improper conduct (including acting in circumstances of a conflict of duties) concerning liquidations dating back to 2009.
  • Acted for Cockburn Cement Limited in an appeal by Cockburn Cement against a proposed amended operating licence issued by the Department of Environment Regulation.
  • Advising Shire of Leonora in relation to the development of a hazardous and radioactive waste disposal facility.  
  • Providing legal advice to Spotless Group in relation to an investigation by the Energy Regulator, Office of Energy Safety into a serious electrical accident that occurred in a domestic residence.
  • Advising Subsea 7 in relation to Project Heron Point, which is the development of a pipeline bundling facility at Learmonth in the north-west of Western Australia.