Overview (Program Summary)
Is your company ready for the unannounced attendance of a corporate regulator or law enforcement authority exercising search & seizure powers?
We all know that Australian corporate regulators including the ACCC, ASIC, APRA, AUSTRAC and the ATO have wide-ranging powers to compel the production of documents etc by way of notice. However, they also have extensive search and seizure powers which may be invoked without, or with very limited, prior notice: AKA “The Dawn Raid”.
Federal, state and territory law enforcement authorities and the ACC may exercise similar powers, either at the request of a regulator or where independently authorised, for example by way of search warrant.
This practical session is targeted to in-house counsel and will address the following topics:
- Preparation: Does your company have a practised response plan and protocol in place? Does everyone from the Receptionist to the CEO know what to do? Who do you notify? Can you call the company’s lawyers? What can you report about or to a client if the documents seized relate to them?
- What to do when investigators arrive: Understanding the source of power used and the scope of any warrant; asking for identification materials from the investigators. Can any execution can be delayed pending the arrival of external legal advisors? Where do you put the investigators? Do you have to provide infrastructure for them? What do you tell staff? What if the media calls? Are the telephones also being intercepted?
- What to do when the searches are being conducted: Monitoring the inspectors, but not interfering. Can notes or photographs be taken of what the inspectors are doing? What do you tell staff to do if they are asked questions? What is the status of any privileged documents? What if there is a dispute about whether certain documents fall within the scope of a notice or warrant?
- What to do after the investigators have left: identifying the next legal steps; communications to staff, the media and/or the ASX; business continuity and document management.
Registrations for this event are being managed by NSW Bar directly.
Kate Morgan SC, Barrister, Tenth Floor Chambers
Kate has a broad national practice, with a focus on complex regulatory matters (civil and criminal) including regulatory investigations, cartels, corporations, consumer protection, civil penalty proceedings, money laundering and foreign bribery.
Patrick Knowles, Barrister, Tenth Floor Selborne/Wentworth Chambers
Theo Dorizac, General Counsel at SBS
Theo Dorizac is the General Counsel of SBS and leads the Legal, Rights Management, Archives and Records Management teams which encompass key legal capabilities including prepublication advice, commercial and technology transactions and dispute resolution; rights and licensing, archives, document management, retention and governance.
Theo joined SBS in 2014 and has extensive experience and is inspired by collaborating with and advising media executives, producers and journalists. Prior to joining SBS, Theo was a Corporate Counsel at Nine, legal and compliance lawyer at Channel 4 in the UK and started his career as a solicitor in private practice in New Zealand.
Theo represents SBS on ‘Australia’s Right to Know’ (ARTK) coalition of media organisations, is a member of the Media Law Resource Centre, Association of Corporate Counsel (Australia) and regularly presents at legal and industry conferences on media, advertising and sports law, investigative journalism and ethics in film making.
David Thomas SC, Barrister, Sixth Floor Chambers
David appears across Australia in complex commercial, regulatory, revenue and constitutional matters, including at appellate level.