Dominique Hogan-Doran SC has an extensive practice advising & appearing in public sector and regulated entities investigations and enforcement actions, including acting for:

  • corporate authorised representative of Australian Financial Services Licensee offering self-managed superannuation fund advice and services in ASIC investigation into suspected breaches of the conflicted remuneration prohibitions (2017-2018)
  • ASX Listed company director suspected of insider trading by ASIC (no action letter obtained) (2016-2017)
  • corporate authorised representative of Australian Financial Services Licensee and its directors in appeal against ASIC banning order for breaches of licence conditions (2016)
  • Bank representative re ASIC banning hearing for unlicensed discretionary trading (2015)
  • investment scheme's investor representative in "Mews" unregistered managed investment scheme winding up and associated appeals, Victorian Registry Federal Court (2007-2016)
  • financial planner re recommendations to invest in Trio Capital: Tarrant and ASIC [2013] AATA 926; earlier [2011] AATA 945; (2011) 56 AAR 257;  (2011) 128 ALD 376
  • confidential witness to suspected tax evasion in compulsory examinations by Australian Taxation Office and ASIC: Project Wickenby (2012-2013)
  • disqualified company director in ASIC investigation into suspected management of a corporation whilst disqualified (no further action letter obtained) (2009-2010)
  • APRA investigation & enforcement action into senior insurance managers arising from the HIH Royal Commission (2003-2007) 

Dominique also has extensive experience advising the national regulator, the Australian Securities & Investments Commission, including:

  • intervening in One.Tel insurance recovery action, instructed direct: Kerr v CGU Insurance Ltd; Donnelly v CGU Insurance Ltd (2010-2011)
  • re breaches of consumer credit lending laws, instructed direct: ASIC investigation into Australian Lending Centre Pty Ltd (2009-2010)
  • re legality of issue of Westpac Debit MasterCard, instructed direct: Westpac Banking Corporation v ASIC [2009] FCA 1506; (2009) 181 FCR 379
  • lengthy civil penalty proceedings against directors and entities of the James Hardie Group for breaches of directors’  duties and breaches of continuous disclosure obligations, instructed by Clayton Utz: James Hardie civil penalty proceedings [2009] NSWSC 287 and [2009] NSWSC 714
  • re public interest immunity claims re whistleblowers re Wembley Stadium continuous disclosure breach investigation, instructed direct: P Dawson Nominees Pty Ltd v ASIC & Ors [2008] HCATrans 409; ASIC v P Dawson Nominees Pty Ltd [2008] FCAFC 123; (2008) 169 FCR 227; P Dawson Nominees Pty Ltd v Multiplex Ltd [2007] FCA 1659; (2007) 65 ACSR 239
  • re investigation into Offset Alpine & Estate of late Renee Rivkin (2006-2007)

Dominique is an Adjunct Associate Professor with the University of New South Wales Centre for Law, Markets & Regulation and is an occasional lecturer in the Master of Laws course "Regulatory Investigations and Enforcement".