Contact

Dominique Hogan-Doran SC
t: + 61 2 9236 8622
f: + 61 2 9221 8995
m: 0410 665 772  
e: hogan-doran@stjames.net.au

Clerk: Margaret Ashford
t: + 61 2 9236 8601
e: mashford@stjames.net.au

6 St. James' Hall Chambers
169 Phillip Street
Sydney, New South Wales
Australia 2000

DX 328 Sydney

         

123 Street Avenue, City Town, 99999

(123) 555-6789

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Regulatory Law

Dominique Hogan-Doran SC accepts briefs across a wide range of regulatory investigations and enforcement action. She acts on behalf of national regulators, as well as subjects of investigation and enforcement action. Drawing on her operational experience as a trustee director of an APRA/ASIC regulated superannuation scheme, Dominique is able to provide strategic advice to entities & boards so as to enhance & strengthen their governance arrangements, and risk management policies & procedures.

Dominique is often called upon to:
• provide urgent advice in relation to regulatory compliance
• respond to regulatory inquiries and investigations
• appear at compulsory examinations and administrative banning hearings
• defend prosecutions and civil penalty proceedings
• negotiate with regulators to settle claims or agree penalties
• appear in Royal Commissions and public inquiries into regulated industries
• provide strategic litigation and regulatory enforcement advice to Boards and Board Chairs
• assist to comply with & observe regulatory rulings or orders.


Examples:

Continuous Disclosure

James Hardie Civil Penalty Proceedings: ASIC v Macdonald (No 11) [2009] NSWSC 287; (2009) 256 ALR 199; (2009) 230 FLR 1; (2009) 71 ACSR 368; (No 12) [2009] NSWSC 714; 73 ACSR 638 - civil penalty proceedings - contraventions of Corporations Act for misleading and deceptive statements and continuous disclosure breaches - for ASIC, briefed by Clayton Utz

Consumer Credit

Commonwealth Royal Commission into Misconduct in the Banking, Superannuation & Financial Services Industry Round 1 Hearings (Consumer Lending) - for Aussie Home Loans (Commonwealth Bank of Australia), briefed by Clayton Utz re mortgage broking and non-compliance issues with the National Consumer Credit legislation

Westpac v ASIC [2009] FCA 1506; (2009) 181 FCR 379 - issue of debit Mastercards, for ASIC, briefed direct

Charities

Australian Charities and Not-for-profits Commission v RSL LifeCare Limited (2018) - for registered charity, briefed by Clayton Utz - resolved by negotiated Enforceable Undertaking re governance and remuneration arrangements

Derivatives

In re MF Global Australia (in liq) (No 2) [2012] NSWSC 1426; (2012) 267 FLR 27, In re MF Global Australia (in liq) [2012] NSWSC 994; (2012) 267 FLR 27 - insolvency of financial services firm - for Contracts for Difference client group, briefed by Arnold Bloch Liebler

Directors

Kender v Australian Securities & Investments Commission [2018] AATA 4555 - Administrative Appeals Tribunal - stay application by disqualified director based on multiple insolvencies (phoenix activity) - briefed by ASIC direct

Financial Services 

ASIC v RM Capital Limited & The SMSF Club P/L, Federal Court of Australia NSD206/2019 - Federal Court of Australia - civil penalty proceedings - first ever case alleging contravention of the conflicted remuneration prohibition (s963G Corporations Act 2001 (Cth)) - for The SMSF Club P/L, corporate authorised representative, briefed by Hall & Wilcox (ongoing)

The Sharemarket College v ASIC [2016] AATA 1057 - Administrative Appeals Tribunal - application for review of Australian Financial Services Licence cancellation & director banning orders - for a registered training organisation, & its directors

ASIC v Hickman (2015) - ASIC administrative banning hearing - unlicensed discretionary trading & falsification of records, contrary to Parts 7.6 & 7.12 Corporations Act 2001 (Cth) - for Macquarie Equities options trader, briefed by Rockwell Olivier

Tarrant v ASIC [2013] AATA 926; (2013) 62 AAR 192 - Administrative Appeals Tribunal - application for review of banning order against financial planner concerning investments in Astarra Strategic Fund managed by Trio Capital, for planner; Tarrant v ASIC [2011] AATA 945; (2011) 56 AAR 257; (2011) 128 ALD 376 - successful application for stay of publication, for financial planner

Franchising

Australian Competition & Consumer Commission v Husqvarna Australia (2018) - for Husqvarna, briefed by Holman Webb - resolved by negotiated Enforceable Undertaking re franchising arrangements

Gaming and Wagering 

Canberra Raiders Sports Club v ACT Gambling & Racing Commission [2018] ACTSC - Supreme Court of the Australian Capital Territory & ACT Administrative & Civil Tribunal - successful challenges to civil penalty & licence conditions re failures to record problem gambling incidents - for Canberra Raiders Group, briefed by Snedden, Hall & Gallop (2018) 

Insider Trading

Director of ASX listed company, briefed by Saville Partners - ASIC investigation into alleged insider trading contrary to s 1043A of the Corporations Act 2001 (Cth) - successfully obtained “no action letter” (2016)

Director of ASX listed company - assisting joint ASIC/ATO Project Wickenby investigations (2013)

Managed Investment Schemes

ASIC v GDK Financial Solutions Pty Ltd (in liq) (No 3) [2008] FCA 448; (2008) 246 ALR 580 & ASIC v GDK (No 4) [2008] FCA 858(2008) 169 FCR 497; ASIC v GDK (No 11) [2012] FCA 1034 & (No 12) [2012] FCA 1035 & (No 14) [2013] FCA 459 - winding up unregistered scheme - for investors, briefed by Arnold Bloch Liebler

ZMB Australia P/L v Warne [2011] FCAFC 65 & [2011] FCA 311 - Federal Court Full Court appeal - priority dispute - approval of compromise - for successful investors, briefed by Arnold Bloch Liebler

AVS Property v McMaster [2010] FCAFC 81; (2010) 79 ACSR 89 - Federal Court Full Court appeal - discharge of mortgage as condition of winding up of unregistered scheme - for contradictor, briefed by Arnold Bloch Liebler

Privacy

Advice to licensed gaming machine operators on impact of Privacy Amendment (Enhancing Privacy Protection) Act 2012 (Cth) amendments to the Privacy Act 1988 (Cth) and introduction of Australian Privacy Principles on record keeping obligations

Prudential/Fit & Proper

X v Australian Prudential Regulation Authority [2007] HCA 4; (2007) 226 CLR 630; (2007) 81 ALJR 611, on appeal from Applicant Y v APRA [2006] FCAFC 37 - use of Royal Commission evidence against senior insurance managers, briefed by Minter Ellison

Graeber and Anor and Australian Prudential Regulatory Authority [2007] AATA 1966; (2007) 46 AAR 115 - ‘fit and proper’ show cause challenge, for Hannover Re senior executives, briefed by Minter Ellison

Welfare of Animals

Granada Productions & ITV PLC - RSPCA investigation for animal welfare offences arising out of the television production of  “I'm a Celebrity - Get Me Out of Here" (2009)

Workplace 

Commonwealth Registered Organisations Commissioner v Communications Electrical Electric Electronic Energy Information Postal Plumbing & Allied Services Union of Australia NSD802/2018 - Federal Court of Australia - civil penalty proceedings - first ever case alleging contraventions of s 230(1) and s 233(2) Fair Work (Registered Organisations) Act 2009 (Cth) - appearing for Commonwealth, briefed by Lander & Rogers Melbourne (reserved, heard July 2019)

John Holland, briefed by Australian Business Lawyers, re Comcare investigation (2009)