Common questions about regulatory prosecutions.

Regulatory offences are quasi-criminal: they are prosecuted to the criminal standard in the Magistrates' Court, and a finding can result in a conviction being recorded.

A regulatory prosecution is brought by a regulator rather than by Victoria Police, but it is dealt with much like a criminal charge. The regulator must prove each element of the offence beyond reasonable doubt, the matter is listed in the Magistrates' Court, and the court can impose fines and, for serious offences, imprisonment. A finding can result in a conviction being recorded, which is why these matters are defended with the same rigour as a criminal charge.

Get legal advice before you attend. Regulators have coercive investigation powers, and what is said in an interview becomes part of the brief; advice first means you understand your position and any protections that apply.

Many regulators can compel a person to attend an interview or produce documents, and the rules differ from a police interview. Some answers may be required by law, and some protections may apply to how those answers can later be used. Because what is said and produced during the investigation becomes part of the brief, it is important to obtain advice before attending, so you understand your obligations, your position, and what protections are available. Contact the firm before the interview date.

Sometimes. Several regulators can accept an enforceable undertaking or resolve a matter short of a contested hearing, depending on the regulator, the conduct, and the circumstances.

Not every regulatory matter ends in a contested hearing. Depending on the regulator, an enforceable undertaking, an agreed resolution, or a negotiated outcome may be available as an alternative to prosecution or as a way of narrowing the matter. Whether any of those options is open, and whether it is the right outcome, depends on the regulator involved, the seriousness of the conduct, the client's compliance history, and what the brief shows. It is assessed after the brief has been reviewed.

It can. For many regulators the consequences for a licence, registration or the ability to operate are a larger exposure than the fine itself, and they are factored into how the matter is run.

For a licensed trade, a registered facility, or an accredited operator, a regulatory finding can carry consequences well beyond a fine: a licence or registration can be affected, and in some industries a finding can affect the ability to keep operating. Directors and officers can also be affected personally. These secondary consequences are often the most significant part of the matter, and they are considered from the outset in deciding how to respond and how to run the case.

Yes. Regulatory prosecutions frequently reach both a company and the people connected to it, and the firm acts for businesses, directors, officers and employees.

Regulatory and statutory offences often expose both an organisation and the people connected to it: a company can be charged, and so can its directors, officers, managers or employees for conduct of the business. Tringali Lawyers acts for businesses and for individuals in regulatory matters. Where a company and an individual are both charged in connection with the same conduct, their interests can differ, and that is identified and managed from the outset.