Regulation

We assist businesses in navigating the constantly changing (and increasingly onerous) regulatory landscape. From ASIC civil penalty and administrative actions, to ACCC cartel investigations, we act for a broad range of individual, corporate and organisational clients whenever a regulator is involved.

With increased criminal investigations and civil penalties, and extensive powers to intervene in products and businesses, the potential impact is high for anyone subject to regulatory oversight.  We know how regulators work and think and use every strategic avenue to help our clients get the best outcomes.

Some of the areas we can assist where a Regulator is involved include if you:

  • Are being investigated by a federal regulatory body like ASIC, ACCC, ATO, AUSTRAC, APRA or AFCA or a state regulator
  • Are involved in or subject to a Royal Commission or Inquiry
  • Have received a compulsory notice to answer questions, give information or produce books
  • Are being investigated by your professional body – CAANZ, IPA, CPA, AHPRA
  • Need to enforce your rights against a party under investigation
  • Want to understand your obligations and regulatory risks before making a commercial decision
  • Want to know whether you can bring a claim following a regulatory investigation or civil action
  • Want to try to get information from a regulator or challenge a decision by a regulator that impacts you or your business
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Complex Case Experts

Our strength is providing insight and solving complex disputes, regulatory issues and critical financial services matters. Meet our highly regarded Directors here.

The clarity you need

While we work on some of Australia’s most complex cases, we believe you should be able to understand every aspect of your matter without a single doubt.

We’re not a big law firm

As senior lawyers from big national law firms, our Directors know that a small hand-selected team is much more effective. We give your matter the focus is deserves.

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our experience

Why Mackay Chapman?

Our extensive experience working inside Regulators, and now against them, creates our unique expertise and perspective.  We understand how they think, their drivers, and use this for our client's benefit at every step.

Some of our recent matters include

  • ASIC administrative actions against financial services licensees
  • ACCC product liability issue
  • Representing accountants in investigations by CAANZ and IPA
  • ASIC investigation into OTC Derivatives trading
  • Action against the Victoria Managed Insurance Authority
  • Defending an individual in criminal action instigated by AFSA for a breach of the bankruptcy act
  • Representing builders in licensing matters with VBA
we’re specialist lawyers

Take a look at our case studies

our specialities

How we can help

We can all be adversely impacted by regulators, that’s why it is important to get the right advice quickly. Some of the areas we advise clients on include:

  • Financial services laws – licensing, authorised representatives, obligations (including best interests), compliance, AFCA disputes, Alleged illegal fundraising or unlicensed activity in financial services
  • Corporations Act – consumer protection, fundraising, directors and officers’ duties

  • Tax – ATO investigations, challenging amended assessments, high net wealth matters
  • Capital markets - insider trading, market manipulation, compliance with listing rules
  • Competition and Cartels
  • RSE compliance
  • Managed investment schemes and investment funds
  • Professional issues – investigation and defence
  • Building industry – licensing and insurance

Unlike other generalist lawyers we are specialists in helping businesses of all sizes strategically navigate their way through difficulties with regulators. We specialise in investigations, actions and issues concerning ASIC, ACCC, ATO and APRA.

We represent clients in Royal Commissions and Inquiries.  We regularly represent clients in AFCA.  We also act in discrete matters involving a wide range of regulatory bodies including professional bodies (CAANZ, IPA) and state regulators.

Book your free consultation today