Regulatory Investigations & Enforcement Action

Dominique Hogan-Doran SC accepts briefs across a wide range of regulatory investigations and enforcement action, with particular expertise in corporate & organisational governance, and director & officer duties.

She acts on behalf of national regulators, as well as subjects of investigation and enforcement action.

Dominique works closely with boards and management to respond to compulsory investigatory processes and provides specialist representation in related enforcement actions and class actions.

Drawing on her operational experience as a director of a superannuation trustee under APRA and ASIC supervision, Dominique can provide strategic advice to entities & boards to enhance and strengthen their governance arrangements & risk management policies & procedures.

Dominique contributes her expert insights on legislative changes and standards of professional conduct as a member of the Law Committee of the Australian Institute of Company Directors (AICD) and the Professional Conduct Committee of the Chartered Accountants of Australia & New Zealand (CAANZ).

Current cases

- Commonwealth Registered Organisations Commissioner v Communications Electrical Electric Electronic Energy Information Postal Plumbing and Allied Services Union of Australia, Federal Court of Australia civil penalty proceedings, for the Commissioner, briefed by Lander & Rogers Melbourne

- Commonwealth Registered Organisations Commissioner, re various other matters, briefed direct

- Australian Securities & Investments Commission v RM Capital Ltd, Federal Court of Australia civil penalty proceedings, for Australian financial services licensee’s corporate authorised representative defending allegations of contravention of the conflicted remuneration prohibition, briefed by Hall & Wilcox Sydney

- Australian Securities & Investments Commission investigation into suspected contraventions of s 101 Superannuation Industry (Supervision) Act 1993 (Cth), for examinee, briefed by MinterEllison

Selected Earlier Cases

- Kender v Australian Securities & Investments Commission [2018] AATA 4555 Commonwealth Administrative Appeals Tribunal, briefed by ASIC direct (stay application by disqualified director)

- Canberra Raiders Sports Club v ACT Gambling & Racing Commission [2018] ACTSC Supreme Court of the Australian Capital Territory (successful challenge to civil penalty & licence conditions re failures to record problem gambling incidents, for Canberra Raiders Group)

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

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

- The Sharemarket College v ASIC [2016] AATA 1057 (stay application re licence cancellation and banning orders, for licensee & directors)

- ASIC v GDK (No 11) [2012] FCA 1034 & (No 12) [2012] FCA 1035 & (No 14) [2013] FCA 459 (winding up of unregistered scheme)

- Tarrant v ASIC [2013] AATA 926; (2013) 62 AAR 192 (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)

- ZMB Australia P/L v Warne [2011] FCAFC 65 & [2011] FCA 311 (winding up - Full Court appeal re priority dispute, for investors)

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

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

- 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 (winding up of unregistered managed investment scheme to develop retirement village in Western Australia, for investors)

- James Hardie Civil Penalty Proceedings: ASIC v Macdonald (No 12) [2009] NSWSC 714; 73 ACSR 638 (penalty proceedings re contraventions of Corporations Act for misleading and deceptive statements and continuous disclosure breaches, for ASIC)

- 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 (liability proceedings re contraventions of Corporations Act for misleading and deceptive statements and continuous disclosure breaches, for ASIC)

- James Hardie Industries NV v ASIC [2009] NSWCA 18 (appeal on continuous disclosure case, for ASIC)

- ASIC v P Dawson Nominees P/L [2008] FCAFC 123; (2008) 169 FCR 227; (2008) 247 ALR 646; (2008) 66 ACSR 704 (public interest immunity) & P Dawson Nominees P/L v ASIC [2008] HCATrans 409 (special leave refused, for ASIC); P Dawson Nominees P/L v Multiplex Ltd [2007] FCA 1659; (2007) 65 ACSR 239 (public interest immunity claim for whistleblower protection under Part 9.4AAACorporations Act, for ASIC)

- 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)

- X v Australian Prudential Regulation Authority [2007] HCA 4; (2007) 226 CLR 630; (2007) 81 ALJR 611 (use of Royal Commission evidence)

- Applicant Y v APRA [2006] FCAFC 37 (appeal; disqualification of senior insurance managers)

- Peridon Village Nominees, application of Billingham [2006] NSWSC 464 (winding up of unregistered managed investment scheme)

- Warne v GDK Financial Solutions Pty Ltd; Billingham v Parbery [2006] NSWSC 259; (2006) 57 ACSR 525 (winding up of unregistered managed investment scheme)

- Applicant X v APRA [2005] FCA 1288 (challenge to disqualification of senior insurance managers)