Regulatory Investigations Half Day Conference
Start time 25 Sep 2019 9:00am (Australia - Melbourne)
End time 25 Sep 2019 1:30pm (Australia - Melbourne)
Location Leo Cussen Centre for Law, Level 16, 15 William Street, Melbourne
Speaker See full program details
Catering Includes morning tea and refreshments
Designed for Legal practitioners
Product Code C19037

Regulatory Investigations Half Day Conference

25 Sep 2019 9:00am - 25 Sep 2019 1:30pm (Australia - Melbourne)
Leo Cussen Centre for Law, Level 16, 15 William Street, Melbourne

Contact Reception on 03 8667 5667 to book your free 3rd place!


This conference is designed to ensure you know how best to advise your client facing a Regulatory Investigation and / or Prosecution. From providing information through to preparing your client for examination, you cannot afford to miss this important program! 


The conference will be chaired by:

Matthew Peckham, Barrister, Victorian Bar

Preparing for ASIC Investigations and Examinations 

Preparing documents, witnesses and the client can be particularly tricky when a client is facing potential regulatory penalties or worse.

This session will outline the key steps and matters to take into account  when preparing for these often stressful proceedings.

Presented by: David Grant, Partner, Logie-Smith Lanyon Lawyers - Recommended Commercial Litigation & Dispute Resolution Lawyer, and Insolvency & Restructuring Lawyer, Doyles Guide 2018 / 2019

Cooperation and Mitigation 

Recent high profile cases show that early negotiation and willingness to cooperate can mitigate the outcome of a regulatory investigation and legal action.  A Court may take account of issues such as early cooperation even if the regulator hasn’t.

This session will focus on advising a client how to best deal with investigations in order to secure a better outcome with regulators, or in court, should the matter proceed to hearing.

Presented by: Lucinda Hill, Counsel, Ashurst


James Clarke, Partner, Ashurst

Privilege, Waiver and Confidential Information

This session will address latest cases dealing with the risks associated with the provision of confidential information to a regulator.  What are the factors to weigh up when advising a client in relation to the provision of information.

Presented by: Jacob Uljans, Partner, Hall & Wilcox

Regulatory Investigations and Self-Incrimination 

This session will focus on the tips and pitfalls around claiming privilege against self-incrimination in regulatory enquiries.

Presented by: Kieran Hickie, Barrister, Victorian Bar


CPD Units:

Substantive Law: 4.0
(includes GST)