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REGULATORY

We have extensive experience in representing individuals and companies in all forms of regulatory investigations and related enforcement proceedings and prosecutions.

Mangioni Biggs + Co has extensive experience in robustly representing individuals and companies in all forms of regulatory investigations and related enforcement proceedings.

Our regulatory team is highly-specialised and is regarded as one of the top small-firm regulatory teams in Australia. Our lawyers have a thorough knowledge of the regulatory landscape in Australia, drawing on extensive expertise developed over decades of defending clients in relation to local and cross-border investigations, inquiries and proceedings in relation to a diverse range of white-collar crimes.

Our lawyers have expertise in the following:

LOCAL + INTERNATIONAL REGULATORS

Our lawyers have appeared in matters being pursued by:

  • The Australian Securities & Investments Commission (ASIC)
  • The Australian Securities Exchange (ASX)
  • The Australian Prudential Regulation Authority (APRA)
  • The Australian Competition & Consumer Commission (ACCC)
  • The Australian Taxation Office (ATO)
  • The Australian Transport Safety Bureau (ATSB)
  • The New South Wales Independent Commission Against Corruption (ICAC)
  • The Judicial Commission of New South Wales

Lawyers in our team have also appeared in a number of cross-border matters being pursued by:

  • The Securities & Exchange Commission in the United States (SEC)
  • The Financial Conduct Authority in the UK (FCA)
  • The Swiss Financial Markets Supervisory Authority (FINMA)

We have also acted in various professional misconduct disciplinary proceedings, including before:

  • The Companies Auditors & Liquidators Disciplinary Board (CALDB)
  • Chartered Accountants Australia and New Zealand (CAANZ)
ROYAL COMMISSIONS + SIMILAR INQUIRIES

Our regulatory team has also represented clients in various Royal Commissions (including at the Banking Royal Commission), and in other special Commissions of Inquiry, as well as in various Coronial Inquests in New South Wales and Queensland (Dreamworld).

CIVIL PENALTY PROCEEDINGS + CRIMINAL PROSECUTIONS

A number of matters in which the lawyers in our regulatory team have been involved have comprised civil penalty proceedings brought by ASIC, and criminal prosecutions brought by the Commonwealth Director of Public Prosecutions (CDPP) or the New South Wales Director of Public Prosecutions (NSW DPP).

SIGNIFICANT REGULATORY MATTERS

Our regulatory lawyers are known to be clever, tenacious and resourceful adversaries. We have an enviable record in outcomes in all jurisdictions. Some of the more significant successful regulatory matters in which our lawyers have acted include:

  • Acting for Goldman Sachs in the HIH Royal Commission (no adverse findings)
  • Acting for a high-profile New South Wales politician in a perjury prosecution brought by the New South Wales DPP (prosecution no billed)
  • Acting for a senior executive of a foreign bank in an ACCC / Commonwealth DPP prosecution for criminal cartel conduct in relation to a $2.5B capital raising (prosecution no billed)
  • Acting for an ex-partner of a large accounting firm in a complex tax fraud prosecution brought by the ATO / Commonwealth DPP (sentenced to serve an intensive corrections order in the community)
  • Acting for a high-profile New South Wales businessman in a post-ICAC perjury prosecution brought by the New South Wales DPP (prosecution withdrawn)

regulatory PRACTITIONERS

OTHER AREAS OF EXPERTISE