Regulatory & Compliance



ASIC Enforcement Powers

ASIC regulates corporate activity to enforce regulations and punish offenders. The authority of ASIC stems from the Australian Securities and Investment Commission Act 2001 (the Act). As a government body, ASIC has the power to investigate, inspect and audit organisations, examine individuals and may cause prosecutions and civil actions to begin against alleged offenders. Failure […]


Company Liability for Regulatory Breaches

It is unsurprising that where a director or indeed a company member violates some aspect of corporate law, they will be held responsible, perhaps even where they did not realise a wrong had been committed. Companies, on the other hand, are separate entities from the individuals behind them. While the doctrine of corporate personhood has […]


Market Power Misuse – Recent Legal Reforms

The introduction of prospective changes to Competition and Consumer laws later this year are anticipated to have a positive impact on competition in Australia. It is hoped the proposal to introduce a ‘purpose and effects test’ and remove the ‘taking advantage’ element in establishing misuse of market power by a corporation will mean that the […]


Examining Corporate Compliance Programs

Corporate compliance programs can be a very useful and effective means of internally regulating a business. Adopting a program tailored to your business will ensure that best practices at all employee levels are maintained and that potential risks are avoided. A corporate compliance program is a kind of binding agreement that can be implemented in […]


Advertising Across Mediums – Potential Legal Issues

Advertising across mediums can include a vast range of options from traditional billboard advertisements to those presented on technological platforms. With these changes, issues have developed relating to how consumers view advertisements and, particularly, what ought to constitute misleading and deceptive advertising. The issues raised here are vital for all businesses to consider when advertising […]


Solicitor’s Duties and Unsatisfactory Professional Conduct

Solicitors are bound by various obligations to their clients. It is important to understand these obligations in order to comprehend when they may be breached. It is also useful to understand the processes involved in dealing with these issues, particularly in relation to unsatisfactory professional conduct. This article will summarise some of the duties solicitors […]


Competition Compliance Risk – The Flight Centre Case

The recent case of ACCC v Flight Centre [2016] HCA 49 raises important issues for business operating with dual distribution models; that is, businesses engaging in direct and indirect distribution of services. The case serves to highlight the potential for competition compliance risk meaning that businesses cannot now assume that the existence of an agency […]


Criminal Cartel Conduct – Examining the NYK Case

In recent years, we have observed an increasing awareness of anti-competitive conduct and strict enforcement by the regulators against prospective wrong-doers. The Nippon Yusen Kabushiki Kaisha (NYK) case should be considered a strong deterrent for companies from engaging in criminal cartel conduct within the Australian market. The NYK case marks the first successful prosecution of […]


Misleading Reviews and Disclosure of Paid Advertising and

The disclosure of paid advertising is a contentious issue in light of the increasing social media and online review platforms. This raises ancillary issues of the obligation of review platforms to monitor and remove fake or misleading reviews. In its advertising and selling guide, the ACCC has stated that ‘[r]egardless of the advertising medium, any […]



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