Best Practice Regulation – Achieving Effective Outcomes


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Recommended CPD point allocation: 7 points (excluding WA).

The Hayne Royal Commission into the banking sector made a clear call for regulators to take a more proactive approach in enforcing compliance with regulatory regimes.  This call has been taken up by regulators at the Commonwealth, State and Local Government levels.

However, there may be potential pitfalls to be overcome in order to take effective regulator action.

Contemplating and undertaking regulatory activity is a highly challenging and complex legal area.  Given these challenges and risks, preparation is key and it is essential that officers manage the steps leading up to taking regulatory action effectively. 

This workshop explores the fundamental elements necessary for preparing a regulatory action to achieve the best outcome.

Who should attend our Practice and Regulation workshop?

  • Government compliance and enforcement officers
  • Government legal officers
  • Government officers that are involved in regulatory, disciplinary or enforcement processes.
What we'll cover
  • Confirming the breach/offence(s) - can regulatory action be taken

    Confirming that the elements of the regulatory breach/offence and other threshold issues can be established on the evidence
    • Identifying the person actually in breach, understanding grades of offences, penalties units and jurisdiction
    • Checking and confirming applicable statutory timeframes and requirements
    • Checking and confirming delegations
  • Consideration and confirmation that the regulatory action should be taken

    • DPP Prosecution Guidelines
    • Model Litigant Principles
    • Relevant regulatory principles applicable to decision to take regulatory action
  • Procedural fairness issues
    • Consider the requirements of procedural fairness in regulatory and disciplinary matters
    • Identify what information needs to be provided before regulatory decision is taken
    • Suggestions for drafting preliminary views and best practice for providing procedural fairness
  • Preparing a brief of evidence - tips and tricks
  • Comparing a complaint and summons:
    • Justices Act 1886 (Qld) requirements
    • Recent developments and consideration of relevant cases
  • Making the regulatory decision/taking enforcement action
    • Tips for drafting appropriate statement of reasons
    • Addressing the risks of taking regulatory action - what to address if the decision is challenged.
What you'll learn
  • You'll leave this workshop with the skills and practical tips to assist in the establishment of a sound process for advising on and preparing for taking regulatory action.

Event Details
13 September
8.45am for 9.00am - 4:45pm
$1,415 per person
$1,276 per person if booking two weeks before the workshop
$1,206 per person if in a group of three or more 
Clayton Utz Brisbane
Level 28, 71 Eagle Street 
Further information:
Phone 1800 882 110
Email [email protected]

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Support when you need it the most

As a participant of our program you'll have comfort in knowing that you can depend on us for ongoing support. Whether it be two weeks or two years after the workshop, you can call us at any time for a short, no-cost consultation.

Recommended CPD point allocation: 3 points (excluding WA).
If this particular educational activity is relevant to your immediate or long term needs in relation to your professional development and practice of the law, then you should claim one CPD unit for each hour of attendance, refreshment breaks not included. Please contact your Professional Body for your state.