Banking & Finance

Regulatory Investigations

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 or concerned about corporate governance? Have you been the victim of fraud?

King & Wood Mallesons’ market-leading compliance and investigations team can support you in preparing for and responding to these situations of critical importance to your organisation.

One of the key features of doing business in today’s rapidly changing environment 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 need to conduct your own proactive internal investigation or independent review, our integrated compliance and investigations team draws together talented litigators and compliance lawyers from across various disciplines and jurisdictions.

Australia’s leading regulatory & investigations practice

Clients call on us to advise on:

  • Investigations by the Financial, Tax, Anti-Trust & Criminal Authorities, including AFCA, AUSTRAC, ASIC, APRA, ACCC, ATO and AFP
  • White Collar Crime & Fraud
  • Anti-Bribery & Corruption
  • Modern Slavery
  • Proactive and Reactive Ethics and Compliance Situations, including Whistleblowing 
  • Compliance with Sanctions Regimes
  • Regulatory Compliance and Money Laundering Activities (AML/CTF).

Our team is frequently called upon for its expertise in financial services regulatory matters and is often recognised as Australia’s leading financial services regulatory practice. We work in an advisory capacity with regulatory bodies and government, including at the Prime Minister and Cabinet level, on regulatory reform and development; equipping us with deep and unique insights for both corporate and government clients.   

Market highlights

  • Big Four Bank: in defence of civil penalty proceedings by ASIC alleging manipulation of the BBSW benchmark rate.
  • Big Four Bank: in successfully defending Federal Court proceedings brought by ASIC alleging contraventions of responsible lending laws.
  • Kimberley Clark: in defending proceedings brought by the ACCC alleging false and misleading representations were made in relation to “flushable” wipes.
  • Australian cryptocurrency exchange: in relation to a significant AFCA investigation and dispute.
  • IOOF Investment Management and associated entities: in successfully defending Federal Court proceedings initiated by APRA alleging it had failed to act in the best interests of its members.
  • Australian-headquartered corporate client: in a joint FBI and AFP investigation into bribery and corruption allegations.

TESTIMONIAL

Comprehensive, deeply resourced offering with niche strengths in such areas as financial services regulation … corporate investigations, Royal Commissions and other official inquiries.

Chambers and Partners

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