Regulatory Enforcement and Investigations

Investigations and enforcement action can have a substantial and damaging impact on a financial business and its reputation.

Our financial services team has expertise in investigations and enforcement including internal investigations and audits, regulatory investigations and surveillance and associated complex litigation.

Our lawyers have acted for a range of financial services businesses, operators and market participants facing investigation or inquiries by market and supervisory regulators and bodies and we have assisted financial institutions, financial advisers, insurers and brokers, listed companies, directors and senior executives.

We have extensive experience acting for clients involved in investigations and contentious regulatory issues as well as defending enforcement proceedings involving regulators such as the ASIC, APRA, Australian Financial Complaints Authority (AFCA), ACCC, and the Markets Disciplinary Tribunal.

Meridian has a strategic approach to assessing regulatory risk and we work with our clients’ internal legal, risk and compliance teams to help them develop governance systems to address and respond to regulatory surveillance, inquiries and investigations.