If you or your business is facing a regulatory investigation or prosecution in Queensland, getting early advice can significantly alter the outcome. Government and regulator oversight is continuing to increase. Now, almost every industry and occupation has some degree of oversight, monitoring and enforcement by a State or Federal Regulator.
At Reinke Lawyers, we have deep roots in the regulatory field.
Our principal has been involved with various regulatory systems since he first commenced employment in the legal sector. As a solicitor, Zac has assisted numerous individuals and Companies that have been the subject of investigations or enforcement action by a regulator.
Our experience goes beyond merely identifying risks – although we can assist you with that too. Instead, we focus on providing you with comprehensive advice and realistic solutions to regulator action.
We have assisted clients with regulatory investigations and prosecutions throughout Queensland, including:
- investigations and prosecutions being undertaken by Work Health and Safety Queensland,
- investigations and prosecutions undertaken by local council in relation to Food Act and Food Safety obligations;
- prosecutions by local council in relation to dangerous dogs and dog attacks;
- investigations by Australian Border Force;
- investigations by Queensland Labour Hire; and
- enforcement action by the National Heavy Vehicle Regulator.
Often times, the advice and representation which occurs at the investigation stage of a matter can lead to a substantially different outcome. It is therefore crucial that you do not delay engaging a lawyer if you, or your company, has received correspondence or notification from a regulator.
Submit an enquiry with us, or to call us and speak with a lawyer.
Frequently Asked Questions about Regulatory Prosecutions & Compliance
A regulatory prosecution is a legal proceeding which is initiated by a government agency against either (or sometimes both) an individual or a corporation for alleged breaches of industry laws. In most cases, these prosecutions are advanced to protect the public interest and enforce compliance with industry practices.
A regulatory prosecution typically commences after an audit, a reported incident, or sometimes a whistleblower complaint.
An investigation will usually be conducted and then a decision will be made by the regulator about whether or not to undertake enforcement action. In some cases this can mean court proceedings and in others, fines or infringements.
The potential penalties depends on what regulator has brought the investigation/enforcement, and the seriousness of the breach.
Generally, breaches will involve civil penalties such as fines. Serious breaches can involve criminal prosecutions which can result in convictions, fines, loss of registration and licenses, as well as imprisonment.
Government authorities possess substantial statutory authorities and coercive powers. You should communicate with them in a transparent, co-operative manner – but this does not mean that you need to provide any responses before you’ve obtained legal advice.
You should also start gathering as much relevant information and documents that you can. Ensure that no documents, emails or data are destroyed, altered, or hidden. Doing so places you at risk of further penalties.
In our experience, early consultation with a legal professional that is experienced in these matters can help mitigate your exposure and, in some cases, resolve the matter before charges are laid.
Regulatory prosecutions are brought by the government body that is responsible for the relevant industry.
In Queensland these commonly include WorkSafe Queensland and the Office of the Work Health and Safety Prosecutor, local councils (such as for Food Act and dangerous dog matters), the Office of Industrial Relations (and Labour Hire Licensing Compliance Unit), and the National Heavy Vehicle Regulator.
Each of these bodies has their own investigation and enforcement powers.
Both.
Many regulated regimes allow both a company and its directors, officers, and even individual workers to be prosecuted for the same conduct. Personal liability can include fines and even imprisonment.
This is why obtaining advice early – before responding to a regulator – is so important.
