Corporate & Regulatory Investigations & Disputes

In an era of heightened regulatory scrutiny companies and senior managers are increasingly exposed to actions from regulators such as ASIC, ACCC and APRA.

With expertise in high profile regulatory investigations and internal investigations for businesses and individuals, we understand that the initial response to an issue can often determine whether or not it will be subject to a formal investigation, civil or criminal proceedings. We work with clients to assess the nature and extent of potential regulatory issues before they become the subject of formal proceedings.

Trusted advisers

When an investigation arises, clients trust us to effectively manage the issues at hand, to protect their personal and corporate reputations and to avoid potentially damaging exposure in court proceedings.

What the market says

"HDY has strong links between the litigators and the more commercial areas of practice which resulted in a very balanced view of the world...HDY's independent thinking [is] a strength... the team developed the defence strategy independently and dealt with all relevant points of law... HDY delivered on its promise of quality and value for money".
Former CFO of an ASX100 company

Henry Davis York is known as a leading dispute resolution practice in Australia and for its practical, sensible and commercially driven advice. Our expertise in corporate and regulatory investigations and disputes includes:

• ASIC, ASX, ATO, APRA and ACCC investigations
• inquiries and investigations by regulators 
• examinations by regulators
• advising clients on the production of documents in response to regulatory notices 
• legislation obligations 
• directors' and officers' duties
• representation in court proceedings.

ASIC v Macdonald (James Hardie)

Henry Davis York represented the retired CFO in the high profile penalty proceedings brought by the Australian Securities and Investments Commission against former directors and officers of James Hardie. The proceeding arose from events related to the separation of James Hardie's dormant asbestos manufacturing subsidiaries from its ongoing operating businesses.

Investigation by ASIC and APRA

We advised a director of a regulated financial services organisation who was being investigated by APRA and ASIC. We assisted the director during the course of the investigation including responding to APRA reports, notices to produce and examinations. We also acted for the director in pursuing administrative law proceedings in the Federal Court over the conduct of the APRA investigation.