Compliance, Investigations & Corporate Governance

Compliance, Investigations & Corporate Governance - Australia

In critical situations, our integrated compliance and investigations team has you covered

Are you involved in an inquiry or under investigation? Are you facing increasing regulatory scrutiny? Have you been the victim of a fraud? Are you worried about corporate governance?

Our integrated compliance and investigations team can support you in responding to these situations of critical importance to your organisation when needed.

Compliance and Investigations

One of the key features of doing business in the 21st century is the need to conform and comply with multiple regulators, often across different jurisdictions. That requires your advisers to be able to provide a holistic approach to compliance, with a keen eye for what constitutes gold standard corporate governance.

Whether you face an external regulatory investigation or you need to conduct your own internal investigation or an independent review, our contentious regulatory litigators are adept at taking such a holistic approach, working hand-in-hand with our compliance lawyers across various disciplines and jurisdictions.

We act and advise in relation to:

  • Investigations by the financial, tax, anti-trust and criminal authorities
  • Bribery and corruption matters
  • Sanctions situations
  • Money laundering activities (AML/CTF).

We have in-depth experience in dealing with dawn raids, document management, privilege issues and with every type of regulator.  We also have a risk assessment and crisis management team who can help you navigate through any external and internal PR issues.

Show moreShow less

Commissions of Inquiry

Commissions of Inquiry can be politically sensitive – so they are critical to get right.

We are the market leader in running commissions of inquiry and investigations. We have experienced the lot. We have a proven agile team that has extensive experience in this area, working in partnership with investigators, government agencies and other stakeholders to deliver on time and under budget.

We have experience managing the unique evidentiary needs of commissions and inquiries. From vast pools of documentary material, to witness statements, examinations and chain of custody processes, we have the systems and experience to ensure any inquiry has the evidence it needs when it needs it.

Our expertise in administrative law and policy means we understand the way governments and inquiries work.

Working with us you access a legal team experienced in driving politically charged inquiries and investigations, and work with a team that can offer you inquiry-specific expertise, including evidence gathering, submission and report writing, and exceptional project management expertise.

With Commissions of Inquiry and investigations you need an integrated team that can work hand in hand with your team, understand the sensitivities, and deliver. You get that with us.

Fraud

Sometimes you need to act quickly to chase down assets that you have been deprived of unlawfully. We are battle-hardened and ready to take immediate action, whether by seeking worldwide freezing and asset preservation orders, search orders or other interim remedies.

We know and understand the litigation landscape and have a proven track record of working across multiple jurisdictions in hot pursuit of stolen assets.

Corporate governance

Having robust systems and practices that meet the requisite standards for business today is a priority for most of our clients.  We can help you set those standards at the outset and deal with the fall-out when issues arise.

Our lawyers excel at working with senior executives and general counsel at major public and private companies, banks hedge funds and other investment funds, to help resolve all types of corporate governance problems including:

  • Activist shareholder actions
  • Boardroom disputes
  • Corporate investigations
  • Disputes arising from the sale of businesses including warranty, earn-out and completion disputes
  • Directors and Officers (D&O) and Errors and Omissions (E&O) insurance coverage issues.
"Great for strategic and tactical advice."

- Chambers

"King & Wood Mallesons knows how a Royal Commission should be run"

- Confidential client

"Operate as one team with the client – with mutual respect "

- Confidential client

We have a full team specialising in this area.

Discover our latest insights into legal issues affecting your business

Extended warranties have been attracting an increasing amount of regulatory scrutiny in recent years, leading law firms and litigation funders to consider launching class actions.

07 July 2017

ASIC has claimed its first scalp for breaches of the “best interests” and “appropriate advice” obligations incorporated into the Freedom of Financial Advice (FOFA) reforms.

12 April 2017

Australia is reconsidering its own approach to modern slavery laws which deal with prohibitions on slavery and slavery-like conditions and affect corporations and financiers in Australia.

10 April 2017

The Australian Government is considering a new model to respond to fraud, false accounting and foreign bribery, including a deferred prosecution agreement scheme for corporate crime.

03 April 2017