Best Practice Regulation – Achieving Effective Outcomes


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Recommended CPD point allocation: 3 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 regulatory 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 and provides guidance on the conduct of a regulatory prosecution in both Courts and Tribunals.

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
  • The types of offences for which regulatory action can be taken, including breach offence(s) and professional disciplinary matters
  • Consideration and confirmation that the regulatory action should be taken including covering:
    • The DPP Prosecution Guidelines; and
    • Model Litigant Principles.
  • Practical tips to apply in investigations
    • We will reach out to attendees prior to your session to tailor these tips to your statutory framework but may include by way of example:
      • Powers of entry
      • Statutory time frames for investigations
      • Tips for exercising coercive powers.
  • What to keep in mind in preparing your evidence for a prosecution in Courts and Tribunals including consideration of the following:
    • The test for relevance
    • Use of hearsay evidence
    • Application of the “best evidence rule”
    • Recent developments in taking regulatory action
    • Pitfalls, tips and tricks.
  • 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.
  • Making the regulatory decision/taking enforcement action
    • Tips for drafting an appropriate statement of reasons
    • Addressing the risks of taking regulatory action - what to address if the decision is challenged.
  • Preparing a complaint and summons/referral:
    • Justices Act 1886 (Qld) requirements
    • Tribunal requirements in referrals
    • Recent developments and consideration of relevant cases, including in respect of conduct of matters including with self-represented litigants and seeking costs.
What you'll learn
  • You'll leave this workshop with the skills and practical tips to advise on and prepare for taking regulatory action.

Event Details
Dates are scheduled on a needs basis.
To register your interest please
click the registration button below or email
[email protected].
8.45am for 9.00am - 4:45pm
$1,500 per person
$1,350 per person if booking two weeks before the workshop
$1,275 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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What our clients say about our Best Practice Regulation – Achieving Effective Outcomes workshop

"Very Knowledgeable presenters and engaging. They gave great examples."

"Very relevant to my position and duties."

"Good to refresh knowledge and confirm what we are doing is correct."

"I found many parts of today’s lesson helpful. These were the most helpful:

  • Principals e.g. Natural Justice, Gathering Evidence, Prosecution, Guidelines
  • Time to ask questions
  • Real life examples."

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.