Receipt of a notice from a regulator can send a client into a spin. They might feel a prompt response helps their position – and not take legal advice. They might feel providing a lot of information demonstrates integrity – and disclose privileged information. Just how a client responds can have an impact on how the matter progresses – so seeking wise counsel is important. 

This webinar will cover the investigatory and enforcement powers of the Commerce Commission, Financial Markets Authority, Serious Fraud Office and Department of Internal Affairs; highlight the red flags to watch out for; and provide guidance on how to advise a client to respond when contacted by a regulator including practicalities and strategic considerations such as timeframes, document preservation, protection of privileged information, civil and criminal exposure, who to involve or not involve, dealing with media, and consequences of non-compliance.

Learning Outcomes

Learning Outcomes

• Become more familiar with the investigatory and enforcement powers of key regulators: the Commerce Commission, Financial Markets Authority, Serious Fraud Office and Department of Internal Affairs.
• Improve your understanding of what to look out for when a client receives a notice from a regulator.
• Being able to identify the raft of practicalities and strategic considerations in respect of responding to a regulator’s notice and when to seek expert advice.

Who Should Attend?

All practitioners, but particularly in-house counsel who may be the first to receive a notice and general practitioners with a commercial client base.

Presenters

Alicia Murray, Partner, Matthews Law

Andrew Matthews, Partner, Matthews Law