Recorded Webinar: Be Alert Not Alarmed: Engagement with the Regulator

An unexpected communication from the regulator, such as ASIC or the ACCC, generally results in a wave of panic in even the most compliant of organisations. At a time when regulators are receiving more funding than ever to investigate industry behaviour, organisations need to be on the front foot to receive the regulator politely at the door. This session will look at preparation for and responding to a visit from the regulator, including:

• Regulator powers of enquiry - how wide and what do you need to provide?
• Voluntary enquiries from regulators
• Compulsory information gathering powers and compulsory examinations
• Tips for maintaining a culture of openness and why self-disclosure can put you on the front foot
• Developing a relationship outside of the regulatory process
• The benefits of good record-keeping
• Best practice processes for responding to communications and investigations
• Dealing with privileged documents and information
• Third party access to documents
• Board communications and involvement in process and outcomes
• Self-incrimination
• Tips for recovering from an investigation and restoring confidence
• Dress rehearsals: a step by step guide to responding to warrants