Maximising Regulatory Enforcement & Compliance Outcomes
Strategic approaches to strengthen enforcement for modern regulators
The inaugural Regulatory Enforcement & Compliance Outcomes Conference offers an unmissable opportunity for regulators to address the demands of today’s complex regulatory landscape. With rising pressures to deliver transparent, effective, and better compliance outcomes, this conference will connect you with regulatory peers and experts from across jurisdictions to explore how they set their regulatory priorities, use enforcement tools innovatively, and when alternatives to enforcement work.
The Hatchery’s Annual Regulation Conference Series has attracted over 250+ regulatory professionals from various Federal and State level regulators, agencies and departments across Australia and New Zealand. Attend this leading industry event to learn how you can improve your approach to compliance and enforcement.
Speakers
Sitesh Bhojani
Former Commissioner
Essential Services Commission
Simon Nicholson
Work Health & Safety Prosecutor
Office of the Work Health & Safety Prosecutor QLD
Belinda Hughes
Executive Director Legal
ICAC PNG
Alan Girle
Special Counsel Employment, Safety & Migration
Macpherson Kelley
Tim Lear
General Counsel & National Manager Legal and Enforcement
Australian Transaction Reports and Analysis Centre (AUSTRAC)
Jane Lin
Executive Director, Regulatory Operations & Enforcement, Liquor & Gaming NSW, Hospitality & Racing
Department of Creative Industries, Tourism, Hospitality and Sport NSW
Brett Crawford
Chief Investigator, Senior Executive Leader- Companies & Small Business Portfolio, Enforcement and Compliance
Australian Securities and Investments Commission
Prue Elletson
Director of Regulatory Operations
Victorian Disability Worker Commission
David Joyner
Director Compliance and Enforcement
Consumer Affairs Victoria
Stephen Hall
Principal Adviser, Legal Services - Biosecurity Tasmania
Department of Natural Resources and Environment Tasmania
Raymond Hassall
Executive Director, Statutory Compliance Division
National Heavy Vehicle Regulator
Kasper Maat
Director, Regulatory Compliance and Operations (Environment)
Victorian Department of Health
Narelle Beer
Consultant, Narelle Beer Consulting
| Former Executive Director, Health & Safety, WorkSafe VIC
Natalie Martin
Director Investigations, Engineering & Enforcement
SafeWork NSW
Sitesh Bhojani
Former Commissioner
Essential Services Commission
Simon Nicholson
Work Health & Safety Prosecutor
Office of the Work Health & Safety Prosecutor QLD
Belinda Hughes
Executive Director Legal
ICAC PNG
Alan Girle
Special Counsel Employment, Safety & Migration
Macpherson Kelley
Tim Lear
General Counsel & National Manager Legal and Enforcement
Australian Transaction Reports and Analysis Centre (AUSTRAC)
Jane Lin
Executive Director, Regulatory Operations & Enforcement, Liquor & Gaming NSW, Hospitality & Racing
Department of Creative Industries, Tourism, Hospitality and Sport NSW
Brett Crawford
Chief Investigator, Senior Executive Leader- Companies & Small Business Portfolio, Enforcement and Compliance
Australian Securities and Investments Commission
Prue Elletson
Director of Regulatory Operations
Victorian Disability Worker Commission
David Joyner
Director Compliance and Enforcement
Consumer Affairs Victoria
Stephen Hall
Principal Adviser, Legal Services - Biosecurity Tasmania
Department of Natural Resources and Environment Tasmania
Raymond Hassall
Executive Director, Statutory Compliance Division
National Heavy Vehicle Regulator
Kasper Maat
Director, Regulatory Compliance and Operations (Environment)
Victorian Department of Health
Narelle Beer
Consultant, Narelle Beer Consulting
| Former Executive Director, Health & Safety, WorkSafe VIC
Natalie Martin
Director Investigations, Engineering & Enforcement
SafeWork NSW
Your Event Experience
Hear directly from the regulators who see the strategic value of enforcement action to respond to non-compliance
Discover how VBA is strengthening their enforcement culture to maximise their regulatory impact
Learn how other regulatory agencies are leveraging their various enforcement powers
Gain insights from regulators on using enforceable undertakings (EUs) effectively to drive compliance, enhance accountability and drive better industry and community outcomes
Hear a range of case studies on how regulators are overcoming common barriers to effective enforcement and compliance
Connect with like–minded professionals and regulatory enforcement and compliance professionals from across different regulatory jurisdictions
Who will attend
Federal & state government regulatory agencies, government departments and associations responsible for:
- Enforcement
- Legal
- Investigations & Enforcement
- Compliance
- Regulation
- Regulatory Practice & Operations
- Strategy & Policy
- Prosecutions
The value of selecting the right enforcement actions to respond to non-compliance
How to balance enforcement with integrated compliance & select the best tools for effective regulation
Leverage enforceable undertakings (EUs) to deliver better industry & community outcomes
How to effectively manage the public interest & perception when considering prosecutions
Agenda
All times are in AEST
Acknowledgement of country & opening remarks
Belinda Hughes
Executive Director Legal
ICAC PNG
Belinda Hughes
Exploring key considerations in selecting the appropriate enforcement action
- What are some of the barriers and challenges in determining the appropriate enforcement action in response to a regulatory breach ?
- How can you ensure consistency in decision making?
- What is the value of using enforcement actions to respond to non-compliance?
- How can you balance preventive, deterrence and self regulation with your coercive compliance and enforcement actions?
Anna Cronin
Commissioner
Victorian Building Authority
Anna Cronin
Anna Cronin is Victoria’s first Commissioner for Better Regulation (appointed in 2015) and also Red Tape Commissioner (appointed in 2018).
Anna started her career as an economist in the Federal Government and has also held senior executive positions in the Victorian and Western Australian Governments.
She has considerable experience in regulatory issues across many policy areas, including in agricultural and mining regulatory and approvals frameworks. Anna was CEO at the National Farmers’ Federation for 5 years and was responsible for the management and co-ordination of the regulatory approvals for some of the world’s biggest iron ore and oil and gas projects when she was a senior bureaucrat in the Western Australian Government. In 2019, Anna led the Victorian Government’s review into planning and building approvals and is now chairing the Expert Panel advising the Victorian Government on the current review of the building system, including legislation and regulators.
Anna was awarded the Centenary of Federation Medal for services to rural leadership. She currently sits on the Advisory Board of the Melbourne School of Government at the University of Melbourne.
Rowena Park
General Manager, Compliance and Enforcement
Australian Energy Regulator
Rowena Park
Rowena Park leads the Australian Energy Regulator’s Compliance & Enforcement Branch as General Manager, focusing on making energy consumers better off. She is responsible for retail authorisations, exemptions, retail and wholesale compliance, compliance assessment and reporting and all investigations and enforcement undertaken by the AER.
Rowena has previously led enforcement teams at ASIC, focusing on financial services and credit misconduct, including as Group Senior Manager in Financial Services Enforcement. She led ASIC’s Royal Commission Litigation Program focusing on misconduct arising from the Royal Commission into Banking and Financial Services.
Rowena has also led policy development and law reform projects including ASIC’s project team for the Treasury-led ASIC Enforcement Review Taskforce. The Taskforce made a number of recommendations resulting in law reform which has enhanced ASIC’s regulatory toolkit considerably.
Rowena has 17 years’ experience in litigation, dispute resolution, regulation, compliance and enforcement both in the private and public sectors
Prue Elletson
Director of Regulatory Operations
Victorian Disability Worker Commission
Prue Elletson
VBA’s journey to embed a stronger enforcement culture
- Transitioning from a passive regulatory approach to actively using enforcement powers
- Leveraging media and public exposure to deter non-compliance and manage public perceptions
- Using risk based approaches to deliver impactful enforcement
- Understanding the difference this approach has made to consumer outcomes
Anna Cronin
Commissioner
Victorian Building Authority
Anna Cronin
Anna Cronin is Victoria’s first Commissioner for Better Regulation (appointed in 2015) and also Red Tape Commissioner (appointed in 2018).
Anna started her career as an economist in the Federal Government and has also held senior executive positions in the Victorian and Western Australian Governments.
She has considerable experience in regulatory issues across many policy areas, including in agricultural and mining regulatory and approvals frameworks. Anna was CEO at the National Farmers’ Federation for 5 years and was responsible for the management and co-ordination of the regulatory approvals for some of the world’s biggest iron ore and oil and gas projects when she was a senior bureaucrat in the Western Australian Government. In 2019, Anna led the Victorian Government’s review into planning and building approvals and is now chairing the Expert Panel advising the Victorian Government on the current review of the building system, including legislation and regulators.
Anna was awarded the Centenary of Federation Medal for services to rural leadership. She currently sits on the Advisory Board of the Melbourne School of Government at the University of Melbourne.
Morning Tea
Striking the balance: Enforcement focused regulation versus an integrated compliance approach
- Recent developments in regulatory approaches
- Choosing the right combination of tools to ensure compliance
- The importance of intelligence in driving a risk-based approach
- Learnings from integrated compliance programs at Liquor & Gaming NSW
Jane Lin
Executive Director, Regulatory Operations & Enforcement, Liquor & Gaming NSW, Hospitality & Racing
Department of Creative Industries, Tourism, Hospitality and Sport NSW
Jane Lin
Jane Lin is the ACCC’s General Manager of Competition, Intelligence and Commercial Construction. She has worked in enforcement roles within the ACCC for over 15 years, investigating and litigating a range of consumer and competition matters, and also spent time working as a Competition Policy Advisor for Ofcom, the UK’s communications regulator. From 2014 to 2017 Jane assisted in setting up and managing the ACCC’s Serious Cartels Group, a unit dedicated to investigating establishing organisational capacity for the investigation of serious cartel conduct. In her current role Jane has responsibility for two of the ACCC’s specialised competition enforcement units as well as its Intelligence team which focuses on providing strategic and tactical intelligence support to the ACCC’s enforcement functions. Jane also leads the ACCC/AER National Innovation Project with a focus on enhancing the agency’s innovation culture.
Sponsor Partner Session
Reserved for Event Partner
For more information contact sponsorship@the-hatchery.co
Networking session
In this fun, interactive session, you will have the opportunity to meet fellow attendees and speakers in two minute bursts, to exchange contact information and set up conversations for the rest of the event.
Lunch
Navigating moral hazards when settling an approach to regulation
- Understanding the role of our regulated population plays in preventing money laundering, terrorism financing and other serious crimes.
- Exploring if the right treatment in individual cases be assessed without considering the need for systemic improvements across the broader regulated cohort
- Case studies of decisions in practice, and possible frameworks for testing a regulatory approach
Tim Lear
General Counsel & National Manager Legal and Enforcement
Australian Transaction Reports and Analysis Centre (AUSTRAC)
Tim Lear
Tim has been in the General Counsel role at AUSTRAC since May 2023. He is an experienced legal practitioner and executive with over 20 years expertise leading teams designing and implementing regulatory reform, compliance, investigations and litigation in Australia and the Asia Pacific.
The impact of enforceable undertakings (EUs): Practical insights for regulators
- What are some of the key considerations for regulators when deciding to accept an EU?
- How can EUs achieve results that benefit the community and environment vs other enforcement options?
- How can regulators effectively manage and monitor compliance with EUs?
Natalie Martin
Director Investigations, Engineering & Enforcement
SafeWork NSW
Natalie Martin
Afternoon Tea
Navigating regulatory complexity in evolving markets
- Learn how Consumer Affairs Victoria tackles rapidly evolving market behaviours and heightened consumer expectations
- Gain insights into strategies for addressing challenges like real estate underquoting, rental non-compliance, and emerging trends
- Explore CAV’s structured taxonomy of intervention strategies and evaluation frameworks to ensure transparency, efficiency, and public accountability
David Joyner
Director Compliance and Enforcement
Consumer Affairs Victoria
David Joyner
The Bass Strait Polo Pony Case: Managing the challenges of cross-jurisdictional investigations
- What was the Bass Strait Polo Pony case and what was its significance?
- What were the challenges posed by investigating the case and how were they overcome?
- Exploring the law, policy and industrial changes arose from the case
- What are the broader lessons for State and Federal regulators responsible for cross-jurisdictional compliance investigations?
Stephen Hall
Principal Adviser, Legal Services - Biosecurity Tasmania
Department of Natural Resources and Environment Tasmania
Stephen Hall
Stephen Hall grew up in Northwest Tasmania and studied law at the University of Tasmania. He was admitted in 1994 and has worked as a general litigation lawyer in private practice, in the community (non-profit) legal sector, as Principal Lawyer for the Tasmanian Environmental Defenders Office, and currently works in the Tasmanian Government bureaucracy. Stephen also holds a Master of Arts and taught tertiary courses in law and politics at James Cook University (QLD) and the University of Tasmania.
Stephen’s current role is Principal Adviser (Legal Services) in the Department of Natural Resources and Environment Tasmania, which administers animal welfare, biosecurity, environmental and primary industries related legislation.
Closing remarks
Acknowledgement of Country & Opening remarks
Belinda Hughes
Executive Director Legal
ICAC PNG
Belinda Hughes
Digital transformation of the court & the prosecution office
- Use of digital briefs and digital evidence
- Using technology in your prosecutorial and investigative practice
- Bringing the judiciary on the journey
Belinda Hughes
Executive Director Legal
ICAC PNG
Belinda Hughes
Prosecuting complex regulatory offences: The basis, the challenges & the outcomes
- What can be achieved through prosecutions?
- What are the preliminary steps that need to occur?
- What can investigators do to better assist with disclosures and ensure powers are exercised legally?
- What tools are better deployed by a regulator to address various industry behaviours?
Simon Nicholson
Work Health & Safety Prosecutor
Office of the Work Health & Safety Prosecutor QLD
Simon Nicholson
I am Queensland’s Work Health and Safety Prosecutor, appointed to the role in October 2022. Born and raised in Hobart, where I lived until moving to Brisbane, I have a background in summary prosecution work with the DPP in Tasmania over 14 years, and was a Principal Crown Counsel prior to my appointment. My current role builds on the wealth of experience I have in prosecuting high-profile work health and safety matters, as well as acting as counsel assisting in coronial inquests and appearing in appeals to both the Supreme Court of Tasmania and High Court of Australia.
Morning Tea
Translating regulatory theory into practice
- Purposeful regulation: Understanding the legislative mandate
- Coalition building: Effectively communicating the purpose of compliance and enforcement functions to key stakeholders
- Understanding risk tolerances: Overcoming information gaps
- Going beyond the enforcement pyramid: Responsive and creative regulation
Raymond Hassall
Executive Director, Statutory Compliance Division
National Heavy Vehicle Regulator
Raymond Hassall
Ray is an experienced regulatory and policy professional with almost thirty years of experience at the state and national level in designing and implementing land transport regulatory reform.
This experience encompasses operational decision-making for high-risk industry activities, legal and regulatory policy design, administrative review, strategic analysis, high-level stakeholder liaison, and intergovernmental relations.
Ray has a deep background in regulatory compliance, and his experience includes acting as a compliance expert for a legal publisher, a peer reviewer for national and international transport publications, and the design and execution of strategic functions for the NHVR as the inaugural head of its national prosecution and enforcement arm.
He is currently the principal of Lincoln Regulatory Consulting.
Inside the mind of a corporate defendant: Strategies for effective negotiation to avoid expensive litigation
- Understanding the corporate defendants’ priorities such as risk assessment, brand reputation, and financial considerations
- Strategies for negotiating with corporate defendants to secure favourable outcomes
- Practical tips to identify and leverage opportunities for early resolution, mediation, or alternative dispute resolution
Alan Girle
Special Counsel Employment, Safety & Migration
Macpherson Kelley
Alan Girle
Lunch
ASIC’s Enforcement Case Study: Changing industry behaviour
- Examining the case for matter selection and to action on
- How to choose the right enforcement action ie administrative, civil or criminal
- Analysing if that action is likely to change industry behaviours and promote compliance
Brett Crawford
Chief Investigator, Senior Executive Leader- Companies & Small Business Portfolio, Enforcement and Compliance
Australian Securities and Investments Commission
Brett Crawford
Brett leads the Companies & Small Business Portfolio – which is a broad group of enforcement teams including Small Business Enforcement and Criminal Investigations. Brett is also ASIC’s Chief Investigator, which is focused on Investigation Capability and Effectiveness.
Brett has held various other roles at ASIC, including most recently as a Senior Manager in the Markets Enforcement group, where he oversaw complex investigations relating to serious corporate misconduct. His experience includes investigations across various sectors, including audit misconduct, corporations, corporate governance, financial reporting and financial services.
Prior to joining ASIC, Brett was a police officer with the Queensland Police Service for 16 years and worked for a number of years with the Australian Taxation Office, investigating tax evasion. He holds a Master of Arts in Fraud and Financial Crime from Charles Sturt University and a Graduate Diploma in anti-money laundering and counter-terrorism financing.
Establishing the National Anti-Scam Centre: Balancing collaboration and enforcement as a regulator
- Building relationships and effective engagement between regulators and industry
- Understanding the challenges and opportunities of the co-regulatory model
- Maintaining the regulatory posture of multiple regulatory bodies and taking a shared approach
- Effectively utilising all the regulatory tools in your toolkit for better outcomes
Sarah Proudfoot
Executive General Manager
National Anti-Scam Centre, Austalian Competition & Consumer Commission (ACCC)
Sarah Proudfoot
Afternoon Tea
Leveraging the stick: Driving meaningful behaviour change in regulated sectors
- Strategic use of enforcement tools to drive compliance and foster long-term behavioural change in regulated industries
- Targeting enforcement actions to influence organisational culture and improve adherence to regulatory frameworks
- Knowing when enforcement is not the right tool
Rowena Park
General Manager, Compliance and Enforcement
Australian Energy Regulator
Rowena Park
Rowena Park leads the Australian Energy Regulator’s Compliance & Enforcement Branch as General Manager, focusing on making energy consumers better off. She is responsible for retail authorisations, exemptions, retail and wholesale compliance, compliance assessment and reporting and all investigations and enforcement undertaken by the AER.
Rowena has previously led enforcement teams at ASIC, focusing on financial services and credit misconduct, including as Group Senior Manager in Financial Services Enforcement. She led ASIC’s Royal Commission Litigation Program focusing on misconduct arising from the Royal Commission into Banking and Financial Services.
Rowena has also led policy development and law reform projects including ASIC’s project team for the Treasury-led ASIC Enforcement Review Taskforce. The Taskforce made a number of recommendations resulting in law reform which has enhanced ASIC’s regulatory toolkit considerably.
Rowena has 17 years’ experience in litigation, dispute resolution, regulation, compliance and enforcement both in the private and public sectors
What are the most effective enforcement actions that regulators can take to deter non-compliance
- Selecting the right enforcement option to achieve your regulatory objectives
- Different Remedies for effective enforcement action
- EUs and their impact on changing industry or business behaviours
- Case studies & key learnings on best practice
Sitesh Bhojani
Former Commissioner
Essential Services Commission
Sitesh Bhojani
Closing remarks & close of Summit
Acknowledgement of country & opening remarks
Belinda Hughes
Executive Director Legal
ICAC PNG
Belinda Hughes
Exploring key considerations in selecting the appropriate enforcement action
- What are some of the barriers and challenges in determining the appropriate enforcement action in response to a regulatory breach ?
- How can you ensure consistency in decision making?
- What is the value of using enforcement actions to respond to non-compliance?
- How can you balance preventive, deterrence and self regulation with your coercive compliance and enforcement actions?
Anna Cronin
Commissioner
Victorian Building Authority
Anna Cronin
Anna Cronin is Victoria’s first Commissioner for Better Regulation (appointed in 2015) and also Red Tape Commissioner (appointed in 2018).
Anna started her career as an economist in the Federal Government and has also held senior executive positions in the Victorian and Western Australian Governments.
She has considerable experience in regulatory issues across many policy areas, including in agricultural and mining regulatory and approvals frameworks. Anna was CEO at the National Farmers’ Federation for 5 years and was responsible for the management and co-ordination of the regulatory approvals for some of the world’s biggest iron ore and oil and gas projects when she was a senior bureaucrat in the Western Australian Government. In 2019, Anna led the Victorian Government’s review into planning and building approvals and is now chairing the Expert Panel advising the Victorian Government on the current review of the building system, including legislation and regulators.
Anna was awarded the Centenary of Federation Medal for services to rural leadership. She currently sits on the Advisory Board of the Melbourne School of Government at the University of Melbourne.
Rowena Park
General Manager, Compliance and Enforcement
Australian Energy Regulator
Rowena Park
Rowena Park leads the Australian Energy Regulator’s Compliance & Enforcement Branch as General Manager, focusing on making energy consumers better off. She is responsible for retail authorisations, exemptions, retail and wholesale compliance, compliance assessment and reporting and all investigations and enforcement undertaken by the AER.
Rowena has previously led enforcement teams at ASIC, focusing on financial services and credit misconduct, including as Group Senior Manager in Financial Services Enforcement. She led ASIC’s Royal Commission Litigation Program focusing on misconduct arising from the Royal Commission into Banking and Financial Services.
Rowena has also led policy development and law reform projects including ASIC’s project team for the Treasury-led ASIC Enforcement Review Taskforce. The Taskforce made a number of recommendations resulting in law reform which has enhanced ASIC’s regulatory toolkit considerably.
Rowena has 17 years’ experience in litigation, dispute resolution, regulation, compliance and enforcement both in the private and public sectors
Prue Elletson
Director of Regulatory Operations
Victorian Disability Worker Commission
Prue Elletson
VBA’s journey to embed a stronger enforcement culture
- Transitioning from a passive regulatory approach to actively using enforcement powers
- Leveraging media and public exposure to deter non-compliance and manage public perceptions
- Using risk based approaches to deliver impactful enforcement
- Understanding the difference this approach has made to consumer outcomes
Anna Cronin
Commissioner
Victorian Building Authority
Anna Cronin
Anna Cronin is Victoria’s first Commissioner for Better Regulation (appointed in 2015) and also Red Tape Commissioner (appointed in 2018).
Anna started her career as an economist in the Federal Government and has also held senior executive positions in the Victorian and Western Australian Governments.
She has considerable experience in regulatory issues across many policy areas, including in agricultural and mining regulatory and approvals frameworks. Anna was CEO at the National Farmers’ Federation for 5 years and was responsible for the management and co-ordination of the regulatory approvals for some of the world’s biggest iron ore and oil and gas projects when she was a senior bureaucrat in the Western Australian Government. In 2019, Anna led the Victorian Government’s review into planning and building approvals and is now chairing the Expert Panel advising the Victorian Government on the current review of the building system, including legislation and regulators.
Anna was awarded the Centenary of Federation Medal for services to rural leadership. She currently sits on the Advisory Board of the Melbourne School of Government at the University of Melbourne.
Morning Tea
Striking the balance: Enforcement focused regulation versus an integrated compliance approach
- Recent developments in regulatory approaches
- Choosing the right combination of tools to ensure compliance
- The importance of intelligence in driving a risk-based approach
- Learnings from integrated compliance programs at Liquor & Gaming NSW
Jane Lin
Executive Director, Regulatory Operations & Enforcement, Liquor & Gaming NSW, Hospitality & Racing
Department of Creative Industries, Tourism, Hospitality and Sport NSW
Jane Lin
Jane Lin is the ACCC’s General Manager of Competition, Intelligence and Commercial Construction. She has worked in enforcement roles within the ACCC for over 15 years, investigating and litigating a range of consumer and competition matters, and also spent time working as a Competition Policy Advisor for Ofcom, the UK’s communications regulator. From 2014 to 2017 Jane assisted in setting up and managing the ACCC’s Serious Cartels Group, a unit dedicated to investigating establishing organisational capacity for the investigation of serious cartel conduct. In her current role Jane has responsibility for two of the ACCC’s specialised competition enforcement units as well as its Intelligence team which focuses on providing strategic and tactical intelligence support to the ACCC’s enforcement functions. Jane also leads the ACCC/AER National Innovation Project with a focus on enhancing the agency’s innovation culture.
Sponsor Partner Session
Reserved for Event Partner
For more information contact sponsorship@the-hatchery.co
Networking session
In this fun, interactive session, you will have the opportunity to meet fellow attendees and speakers in two minute bursts, to exchange contact information and set up conversations for the rest of the event.
Lunch
Navigating moral hazards when settling an approach to regulation
- Understanding the role of our regulated population plays in preventing money laundering, terrorism financing and other serious crimes.
- Exploring if the right treatment in individual cases be assessed without considering the need for systemic improvements across the broader regulated cohort
- Case studies of decisions in practice, and possible frameworks for testing a regulatory approach
Tim Lear
General Counsel & National Manager Legal and Enforcement
Australian Transaction Reports and Analysis Centre (AUSTRAC)
Tim Lear
Tim has been in the General Counsel role at AUSTRAC since May 2023. He is an experienced legal practitioner and executive with over 20 years expertise leading teams designing and implementing regulatory reform, compliance, investigations and litigation in Australia and the Asia Pacific.
The impact of enforceable undertakings (EUs): Practical insights for regulators
- What are some of the key considerations for regulators when deciding to accept an EU?
- How can EUs achieve results that benefit the community and environment vs other enforcement options?
- How can regulators effectively manage and monitor compliance with EUs?
Natalie Martin
Director Investigations, Engineering & Enforcement
SafeWork NSW
Natalie Martin
Afternoon Tea
Navigating regulatory complexity in evolving markets
- Learn how Consumer Affairs Victoria tackles rapidly evolving market behaviours and heightened consumer expectations
- Gain insights into strategies for addressing challenges like real estate underquoting, rental non-compliance, and emerging trends
- Explore CAV’s structured taxonomy of intervention strategies and evaluation frameworks to ensure transparency, efficiency, and public accountability
David Joyner
Director Compliance and Enforcement
Consumer Affairs Victoria
David Joyner
The Bass Strait Polo Pony Case: Managing the challenges of cross-jurisdictional investigations
- What was the Bass Strait Polo Pony case and what was its significance?
- What were the challenges posed by investigating the case and how were they overcome?
- Exploring the law, policy and industrial changes arose from the case
- What are the broader lessons for State and Federal regulators responsible for cross-jurisdictional compliance investigations?
Stephen Hall
Principal Adviser, Legal Services - Biosecurity Tasmania
Department of Natural Resources and Environment Tasmania
Stephen Hall
Stephen Hall grew up in Northwest Tasmania and studied law at the University of Tasmania. He was admitted in 1994 and has worked as a general litigation lawyer in private practice, in the community (non-profit) legal sector, as Principal Lawyer for the Tasmanian Environmental Defenders Office, and currently works in the Tasmanian Government bureaucracy. Stephen also holds a Master of Arts and taught tertiary courses in law and politics at James Cook University (QLD) and the University of Tasmania.
Stephen’s current role is Principal Adviser (Legal Services) in the Department of Natural Resources and Environment Tasmania, which administers animal welfare, biosecurity, environmental and primary industries related legislation.
Closing remarks
Acknowledgement of Country & Opening remarks
Belinda Hughes
Executive Director Legal
ICAC PNG
Belinda Hughes
Digital transformation of the court & the prosecution office
- Use of digital briefs and digital evidence
- Using technology in your prosecutorial and investigative practice
- Bringing the judiciary on the journey
Belinda Hughes
Executive Director Legal
ICAC PNG
Belinda Hughes
Prosecuting complex regulatory offences: The basis, the challenges & the outcomes
- What can be achieved through prosecutions?
- What are the preliminary steps that need to occur?
- What can investigators do to better assist with disclosures and ensure powers are exercised legally?
- What tools are better deployed by a regulator to address various industry behaviours?
Simon Nicholson
Work Health & Safety Prosecutor
Office of the Work Health & Safety Prosecutor QLD
Simon Nicholson
I am Queensland’s Work Health and Safety Prosecutor, appointed to the role in October 2022. Born and raised in Hobart, where I lived until moving to Brisbane, I have a background in summary prosecution work with the DPP in Tasmania over 14 years, and was a Principal Crown Counsel prior to my appointment. My current role builds on the wealth of experience I have in prosecuting high-profile work health and safety matters, as well as acting as counsel assisting in coronial inquests and appearing in appeals to both the Supreme Court of Tasmania and High Court of Australia.
Morning Tea
Translating regulatory theory into practice
- Purposeful regulation: Understanding the legislative mandate
- Coalition building: Effectively communicating the purpose of compliance and enforcement functions to key stakeholders
- Understanding risk tolerances: Overcoming information gaps
- Going beyond the enforcement pyramid: Responsive and creative regulation
Raymond Hassall
Executive Director, Statutory Compliance Division
National Heavy Vehicle Regulator
Raymond Hassall
Ray is an experienced regulatory and policy professional with almost thirty years of experience at the state and national level in designing and implementing land transport regulatory reform.
This experience encompasses operational decision-making for high-risk industry activities, legal and regulatory policy design, administrative review, strategic analysis, high-level stakeholder liaison, and intergovernmental relations.
Ray has a deep background in regulatory compliance, and his experience includes acting as a compliance expert for a legal publisher, a peer reviewer for national and international transport publications, and the design and execution of strategic functions for the NHVR as the inaugural head of its national prosecution and enforcement arm.
He is currently the principal of Lincoln Regulatory Consulting.
Inside the mind of a corporate defendant: Strategies for effective negotiation to avoid expensive litigation
- Understanding the corporate defendants’ priorities such as risk assessment, brand reputation, and financial considerations
- Strategies for negotiating with corporate defendants to secure favourable outcomes
- Practical tips to identify and leverage opportunities for early resolution, mediation, or alternative dispute resolution
Alan Girle
Special Counsel Employment, Safety & Migration
Macpherson Kelley
Alan Girle
Lunch
ASIC’s Enforcement Case Study: Changing industry behaviour
- Examining the case for matter selection and to action on
- How to choose the right enforcement action ie administrative, civil or criminal
- Analysing if that action is likely to change industry behaviours and promote compliance
Brett Crawford
Chief Investigator, Senior Executive Leader- Companies & Small Business Portfolio, Enforcement and Compliance
Australian Securities and Investments Commission
Brett Crawford
Brett leads the Companies & Small Business Portfolio – which is a broad group of enforcement teams including Small Business Enforcement and Criminal Investigations. Brett is also ASIC’s Chief Investigator, which is focused on Investigation Capability and Effectiveness.
Brett has held various other roles at ASIC, including most recently as a Senior Manager in the Markets Enforcement group, where he oversaw complex investigations relating to serious corporate misconduct. His experience includes investigations across various sectors, including audit misconduct, corporations, corporate governance, financial reporting and financial services.
Prior to joining ASIC, Brett was a police officer with the Queensland Police Service for 16 years and worked for a number of years with the Australian Taxation Office, investigating tax evasion. He holds a Master of Arts in Fraud and Financial Crime from Charles Sturt University and a Graduate Diploma in anti-money laundering and counter-terrorism financing.
Establishing the National Anti-Scam Centre: Balancing collaboration and enforcement as a regulator
- Building relationships and effective engagement between regulators and industry
- Understanding the challenges and opportunities of the co-regulatory model
- Maintaining the regulatory posture of multiple regulatory bodies and taking a shared approach
- Effectively utilising all the regulatory tools in your toolkit for better outcomes
Sarah Proudfoot
Executive General Manager
National Anti-Scam Centre, Austalian Competition & Consumer Commission (ACCC)
Sarah Proudfoot
Afternoon Tea
Leveraging the stick: Driving meaningful behaviour change in regulated sectors
- Strategic use of enforcement tools to drive compliance and foster long-term behavioural change in regulated industries
- Targeting enforcement actions to influence organisational culture and improve adherence to regulatory frameworks
- Knowing when enforcement is not the right tool
Rowena Park
General Manager, Compliance and Enforcement
Australian Energy Regulator
Rowena Park
Rowena Park leads the Australian Energy Regulator’s Compliance & Enforcement Branch as General Manager, focusing on making energy consumers better off. She is responsible for retail authorisations, exemptions, retail and wholesale compliance, compliance assessment and reporting and all investigations and enforcement undertaken by the AER.
Rowena has previously led enforcement teams at ASIC, focusing on financial services and credit misconduct, including as Group Senior Manager in Financial Services Enforcement. She led ASIC’s Royal Commission Litigation Program focusing on misconduct arising from the Royal Commission into Banking and Financial Services.
Rowena has also led policy development and law reform projects including ASIC’s project team for the Treasury-led ASIC Enforcement Review Taskforce. The Taskforce made a number of recommendations resulting in law reform which has enhanced ASIC’s regulatory toolkit considerably.
Rowena has 17 years’ experience in litigation, dispute resolution, regulation, compliance and enforcement both in the private and public sectors
What are the most effective enforcement actions that regulators can take to deter non-compliance
- Selecting the right enforcement option to achieve your regulatory objectives
- Different Remedies for effective enforcement action
- EUs and their impact on changing industry or business behaviours
- Case studies & key learnings on best practice
Sitesh Bhojani
Former Commissioner
Essential Services Commission
Sitesh Bhojani
Closing remarks & close of Summit
Prosecuting regulatory offences: How to ensure your briefs of evidence are court ready
A regulator’s role is to not only establish that a breach or an offence has occurred, but to ensure the evidence obtained and collected can be admitted into court and the conduct or offence proven. This workshop will delve into comparisons between conventional civil and criminal proceedings, standards of proof, strategic information gathering, disclosure obligations and compilation of briefs. It will be an opportunity to learn how to assess your own case’s strengths and weaknesses, develop a solid case theory, ensure sufficiency of evidence and legal submissions and how to think like a defendant’s lawyer in approaching the case.
Attend and Learn
- Prepare an infallible court-ready brief
- Understand the various evidentiary sources, tactics & strategies
- Conduct a high-level assessment of the information-gathering or investigation practices of your own agency or organisation
- Develop & utilise a brief analysis tool & prepare a plausible case theory
- Prepare solid legal submissions
- Implement existing tools & practices to assist your agency organisation’s regulatory proceedings or prosecutions
Lauren Cassimatis
Founder & Principal Lawyer
Gallant Law
Lauren Cassimatis
Lauren Cassimatis is the Founder and Principal Lawyer of Gallant Law, the Founder and Chair of Connecting Lawyer Mums and an Adjunct Lecturer at the College of Law. Lauren is a Law Institute of Victoria Accredited Specialist in Criminal Law, has over 20 years’ experience in the legal profession, and is one of Australia’s leading criminal lawyers. Lauren specialises in complex mental impairment defences, homicides, WorkSafe, ASIC and other regulatory (quasi-criminal) proceedings. Lauren founded Gallant Law with a vision to protect her clients’ interests beyond the courtroom, advocating for their rehabilitation, identity, relationships, careers and reputation. Lauren is an ambassador for LGBTIQ+, Aboriginal, Torres Strait Islander communities, women in business and working parents. Through Connecting Lawyer Mums, Lauren delivers her second passion to help her clients rise above life’s challenges and achieve their professional and personal goals.
Melbourne
Batman’s Hill on Collins, Melbourne | Naarm & Online
Pricing
Save until 20 December
+GST
Early bird pricing
Save $600
Save until 7 February
+GST
Early bird pricing
Save $400
Save until 14 March
+GST
Early bird pricing
Save $200
Save until 4 April
+GST
Early bird pricing
Save $100
Standard rate after early bird
+GST
Standard rate
Save until 20 December
+GST
Early bird pricing
Save $600
Save until 7 February
+GST
Early bird pricing
Save $400
Save until 14 March
+GST
Early bird pricing
Save $200
Save until 4 April
+GST
Early bird pricing
Save $100
Standard pricing after early bird
+GST
Standard Rate
Bring your colleagues and save with a group discount
Groups of 3-4 save 5% Groups of 5-7 save 10%
Groups of 8-11 save 15% Groups of 12-19 save 20%
Groups of 20+ save 25%
Great event, interesting content and very special to be able to hear first hand about others’ experiences with regulation, including where things can go wrong even with the best of intentions”
Donna Benson
Australian Communications and Media Authority, May 2024
An excellent conference with great speakers focussed on a modern regulatory approach”
Rhonda Murray
Chief Investigator, Environmental Crime Branch May 2024
The Hatchery is excellent in bringing together current operations and procedures for reflection. I can now review the organisation’s approach to remain relevant and justify enhancement from lessons learnt from similar interstate or federal organisations – regardless of your experience, there is still that 1% to learn which improves systems creating more robust decisions and outcomes.”
Maritime Senior Investigator, Commercial Passenger Vehicles Victoria, May 2024
An excellent event, that was extremely well organised, with an array of speakers who had a clear understanding and working knowledge of the regulatory space, borne out by the high standard of presentations made over the two days.”
Julian Lane
Intake and Resolution Officer, Victorian Disability Worker Commission, May 2024