ASIC Investigation Defence Lawyers in Sydney & Nationwide
Your Freedom Deserves Our Expertise
Trusted & Recommended by Clients. LED by Accredited Specialists
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The O'Brien Advantage
Proven Track Record in Regulatory Defence
Our experienced lawyers have successfully represented directors, officers, and companies facing ASIC investigations, Section 19 examinations, civil penalty proceedings, and legal proceedings in the Federal Court. We defend clients across a broad range of complex regulatory and white collar matters and have a demonstrated history of achieving favourable outcomes.
Specialist Regulatory & Criminal Expertise
Our team is led by Law Society Accredited Specialists in Criminal Law with in depth knowledge of ASIC’s powers and the investigation process. ASIC investigations can escalate from civil enforcement to criminal penalties and prosecution without warning. Our lawyers understand both sides of this process and prepare your defence accordingly from day one.
Personalised Defence Strategy
Every ASIC investigation is different. Whether you are a company director of an ASX-listed company, a body corporate, or a small business facing a compliance audit, our lawyers will assess your personal exposure, provide strategic advice on risk management, and develop a tailored strategy to protect your interests, your career, and your reputation.
Same-Day Consultations & Flexible Payment
ASIC investigations move fast. We offer same-day or next-day consultations so you can get advice before making any response. We also offer flexible payment plans and can advise on Legal Aid eligibility. Book a free 15-minute consultation with our team today.
ASIC Investigation Matters We Handle
Section 19 Examinations
A Section 19 examination, also known as a compulsory examination, is ASIC’s most powerful investigative tool. You are compelled to attend under oath and answer questions about company affairs. There is no right to silence. Our lawyers prepare you thoroughly, attend the examination with you, and protect your interests throughout the process.
Civil Penalty Proceedings
ASIC may commence civil proceedings against directors for breaches of the Corporations Act 2001 (Cth), including misleading or deceptive conduct and breaches of duties owed by financial services organisations. Civil penalty proceedings are typically heard in the Federal Court, and penalties for individuals can reach AUD 1.05 million or three times the benefit gained. Our lawyers negotiate with ASIC and mount a robust defence to minimise your exposure.
Director Disqualification & Bans
ASIC can apply for orders banning you from managing corporations, either temporarily or permanently, where it identifies dishonest conduct or serious breaches of directors’ duties. A director ban can end your career. Our lawyers challenge disqualification applications and present the strongest case for your continued fitness to serve as a director.
Criminal Referrals & Prosecutions
Where ASIC identifies sufficient evidence of serious criminal activity, such as fraud, dishonest conduct, or insider trading, it may refer the matter to the Commonwealth Director of Public Prosecutions or state police for criminal prosecution. Criminal penalties can include substantial fines and imprisonment. Our Accredited Criminal Law Specialists defend directors facing white collar crime charges and fight to establish reasonable doubt at every stage.
Compliance & Surveillance Investigations
ASIC routinely monitors market conduct, financial product compliance, and disclosure obligations to enforce compliance across financial services organisations in the public interest. If your company has been contacted about a compliance review, misleading disclosure concerns, or surveillance matter, early legal engagement can shape the outcome and prevent escalation to enforcement action, enforceable undertakings, or administrative actions.
Search Warrants & Production Notices
ASIC can execute search warrants on your premises without advance notice and compel you to produce documents, financial records, and financial reports within strict timeframes. Our lawyers advise on your obligations, assert legal professional privilege where it applies, identify information relevant to the investigation, and ensure you comply without inadvertently waiving your rights.
Meet Our ASIC Investigation Defence Team
With extensive experience defending directors and officers in regulatory investigations, our team has represented clients in matters involving ASIC, the Australian Federal Police, the Commonwealth Director of Public Prosecutions, and other regulatory bodies. Led by firm founder and Principal, Peter O’Brien, our team has appeared in courts across Australia, including the High Court of Australia.
No matter the scale of the investigation, our lawyers will provide you with strategic guidance, assess your personal exposure, and develop a roadmap to achieve the best possible outcome across all legal matters in the most efficient way.
Our team at O’Brien Criminal & Civil Solicitors are led by Law Society Accredited Specialists in Criminal Law and in Civil Law. To become an Accredited Specialist, a practitioner must undergo a structured assessment process demonstrating deep understanding, competency, and expertise in their chosen area of law.
How We Defend You Against ASIC
1. Urgent Initial Consultation
Contact O’Brien Criminal and Civil Solicitors for a same-day or next-day consultation. Our lawyers will assess your situation, review any ASIC notice you have received, explain your legal options across all related legal matters, and advise you on immediate next steps. We offer flexible payment options and can discuss Legal Aid eligibility.
2. Investigating Your Exposure & Building Your Defence
Our lawyers will review the scope of the ASIC investigation, identify your personal exposure as a director, and develop a strategic defence. This includes reviewing all documents for legal professional privilege, identifying information relevant to your defence, preparing you for any Section 19 examination, and negotiating with ASIC where appropriate.
3. Communication & Updates
We keep you informed at every stage. Our lawyers will explain legal processes in plain English, provide regular updates on the investigation’s progress, and collaborate with you to make key decisions about your defence strategy.
4. Pursuing the Best Outcome
Our lawyers work tirelessly to defend you, whether that involves negotiating with ASIC to resolve the matter, challenging civil penalty proceedings, defending against director disqualification applications, or representing you in criminal proceedings if the matter is referred for prosecution. Remember:
Remember: ASIC investigations are complex and the consequences can be severe. Seeking expert legal advice immediately is not optional, it is essential. Our experienced lawyers are here to guide you every step of the way and fight to protect your career, your reputation, and your freedom.
What to Do if You’re Facing an ASIC Investigation
Receiving an ASIC investigation notice, a Section 19 examination summons, or a search warrant is stressful. The decisions you make in the first few days can significantly affect the outcome. Here is what our lawyers advise:
- Obtain Legal Advice Immediately
- Do not delay. The first conversation with ASIC should be with a lawyer advising you. Directors often feel obligated to cooperate or clarify, but this instinct can expose you to personal liability. A lawyer will assess the investigation’s scope, your exposure, and the best response strategy before you say anything.
- Do Not Speak to ASIC Without Your Lawyer
- Initial ASIC enquiries may seem informal, but they are formal investigations. Every word you say can be used against you in civil or criminal proceedings. Your lawyer will advise whether to respond directly, in writing, or whether to decline to answer pending a full investigation brief.
- Separate Your Interests from the Company’s
- If the company has legal counsel, they represent the company, not you personally. As a director, you need your own independent legal advice. Your interests and the company’s interests may diverge, especially if the investigation focuses on director conduct.
- Preserve All Documents
- Do not destroy, alter, or conceal any documents. Doing so is itself a criminal offence (obstruction). Do not discuss the investigation via email or messaging platforms unless your lawyer advises it is safe to do so. Your lawyer will advise on document preservation obligations.
- Understand Legal Professional Privilege
- Communications between you and your lawyer made for the purpose of seeking legal advice are protected by legal professional privilege. However, privilege can be lost if communications are shared with third parties (accountants, company staff) or disclosed to ASIC. Be careful not to disclose privileged documents without legal advice.
- Prepare for a Section 19 Examination
- If you receive a Section 19 notice, attendance is compulsory. You cannot claim the right to silence. Your answers are recorded and can be used as evidence. You have the right to have a lawyer present to advise you, but they cannot answer questions for you. Thorough preparation with your lawyer before the examination is essential.
- Act Quickly
- Early legal engagement can shape the outcome of an ASIC investigation. A lawyer may negotiate ASIC’s approach, propose alternative evidence gathering methods, or identify grounds to limit your personal exposure. The sooner you get advice, the more options you have.
Remember: Don’t face this alone. Let the experts at O’Brien Criminal and Civil Solicitors guide you and fight to protect your career, your reputation, and your freedom.
Voices of Justice: Client Reviews
Read what clients of O’Brien Criminal and Civil Lawyers have said in Google Reviews after we’ve helped clients restore their good names.
Wilson Tighe is the best criminal lawyer in Sydney. I highly recommended him not only for his highly competence in laws but also for his kindness and humanity. We thank him a lot for his help in our matter.
Used O'Brien solicitors for both of my criminal law cases which they managed to get all charges dismissed when I was looking down the barrel of 18 months jail. Then even more impressively ran my civil claim vs the police and I got a very good outcome and substantial pay out. Easy to talk to and actually listened and took my opinion into consideration which is a first. Highly recommend!
Dedicated, diligent and efficient! I had the good luck of being represented by O'Brien lawyers resulting in a favourable outcome. If you are looking for lawyers to represent you in a difficult criminal case, then look no further.
The quality of service provided far exceeded my expectations. The elegance and professionalism in which this firm conducts itself is to be admired. They don't treat you as just another client. I cannot recommend them enough for criminal and civil matters as they excel at both. Special thank you to Peter & Elle, I will never forget the impact this outcome has had on my life.
I recently had to engage the firm to represent me in a criminal matter. I initially liaised with Tim Rayner (criminal paralegal) who assisted with handling my case, whom I found to be professional and always responsive. Elliot Rowe (criminal solicitor) was assigned as my legal counsel. I highly commend Elliot for his consistently methodical and prudent handling of my case and his calm and patient demeanour, which provided some measure of reassurance to me during a particularly distressing period in my life.
I found myself facing the criminal justice system for the first (and hopefully only) time. Contacted O'Brien solicitors based on the number of positive reviews and was put through to Elliot. His patience with me was outstanding, helping me navigate and understand what lay ahead. Never felt rushed. He was very objective and not judgemental in any way. Gave me plenty of options which allowed me to arrive at a fair outcome. At sentencing he spent the whole day with me in court. I consider Elliot to be more an ally not just a lawyer. Can't recommend Elliot highly enough.
Me and my family have been working with O'Brien Criminal and Civil Solicitors in regards to representing us for criminal defence in two cases. In both cases our solicitor Wilson Tighe was professional, transparent and provided us with professional advice throughout the procedures. I highly recommend their services to others.
Sidnie was thorough, informative and well versed. Her dedication and attention to detail, and ability to force the truth to be seen, were the reason I got the result that I should have. Highly recommended her and this firm.
O’Brien Criminal and Civil Solicitors have been an outstanding service to me in both criminal and civil matters, if anyone or any organisation needs professional law support, this is an absolute dedication of people who have passionately studied and become experienced experts in getting results, thank you I am so grateful.
O'Brien Criminal and Civil Solicitors is hands down the most reliable, understanding and professional firm I have dealt with. Peter, Tim and Wilson have helped me and my family through the roughest time and were able to provide us with an amazing outcome. I would definitely highly recommend this firm to anyone that requires Solicitors that offer professionalism and care. THANK YOU SO VERY MUCH.
I highly recommend O'Brien solicitors, especially Peter O'Brien and Wilson Tighe. They went above and beyond. Easily contactable anytime I had a question, diligent, kept us up to date and always communicated each step and options with me.
As a client of O'Brien Criminal & Civil Solicitors, I am extremely satisfied with the services provided by Tim Rayner and the entire team. From the initial consultation to the final resolution of my legal matter, I have been impressed with the level of professionalism, expertise, and attention to detail demonstrated by everyone involved.
FAQ’s on ASIC Investigation Law
At O’Brien’s, our ASIC investigation lawyers are experienced in defending directors and officers across the full range of ASIC enforcement actions. Our lawyers provide expert legal representation for ASIC investigation matters, including but not limited to:
- Section 19 Examinations: Representing directors compelled to attend ASIC’s formal examination hearings under oath. A Section 19 examination is ASIC’s most powerful investigative tool, and your answers can be used against you in civil or criminal proceedings.
- Civil Penalty Proceedings: Defending directors against ASIC civil penalty actions for breaches of the Corporations Act 2001 (Cth). Civil penalties for individuals can reach up to AUD 1.05 million or three times the benefit gained, whichever is greater.
- Director Disqualification & Bans: Defending against ASIC applications to ban you from managing corporations. Director bans can be temporary or permanent, and can end your career.
- Criminal Referrals & Prosecutions: Representing directors where ASIC has referred the matter to the Commonwealth Director of Public Prosecutions or state police for criminal charges such as fraud, dishonesty, or insider trading. Criminal sentences can include substantial fines and imprisonment.
- Search Warrants & Document Seizures: Advising directors and companies when ASIC executes search warrants on premises, including asserting legal professional privilege and ensuring compliance without waiving your rights.
- Production Notices: Assisting directors who have received ASIC production notices demanding specified documents within strict timeframes. Failure to comply is contempt of court.
- Compliance & Surveillance Investigations: Representing companies and directors contacted by ASIC about market conduct, financial product compliance, or disclosure obligations.
- Infringement Notices: Advising on ASIC infringement notices carrying fixed penalties typically ranging from AUD 1,800 to AUD 200,000 for less serious regulatory breaches.
A Section 19 examination is a compulsory hearing where ASIC questions you under oath about company affairs. The examination is formal, recorded, and the transcript becomes evidence that can be used against you in civil or criminal proceedings. Attendance is mandatory. Failure to attend without a reasonable excuse is a criminal offence. You can bring a lawyer to advise you, but you cannot refuse to answer questions by claiming the right to silence. A lawyer should prepare you thoroughly before the examination.
Penalties for directors in ASIC investigations vary widely depending on the nature of the breach, whether the matter is civil or criminal, and the specific conduct involved.
- For civil penalty proceedings, individuals face penalties of up to AUD 1.05 million or three times the benefit gained, whichever is greater, for breaches of financial services laws.
- Infringement notices carry fixed penalties typically ranging from AUD 1,800 to AUD 200,000 for less serious regulatory breaches.
- Director disqualification orders can ban you from managing corporations for a specified period, or permanently, if ASIC establishes you are unfit to serve as a director.
- At the criminal level, referrals to the Commonwealth Director of Public Prosecutions for offences such as fraud, dishonesty, or insider trading can result in substantial fines and imprisonment. The Australian Federal Police actively targets serious corporate offences, and recent convictions have resulted in significant prison sentences.
- Compensation orders may require directors to repay consumers or the company for losses caused by the breach.
The primary legislation governing ASIC investigations is the
Australian Securities and Investments Commission Act 2001 (Cth). This Act grants ASIC its investigative powers, including the power to conduct Section 19 examinations, issue production notices, and execute search warrants.
In addition to the ASIC Act, the Corporations Act 2001 (Cth) is also directly relevant. The Corporations Act sets out directors’ duties, civil penalty provisions, and the regulatory framework for corporations law in Australia. Together, these laws provide the legal basis for ASIC’s enforcement actions, court proceedings, and penalties against directors and officers.
An expert ASIC investigation lawyer can assist from the moment you receive an investigation notice, a Section 19 examination summons, or a search warrant. Our ASIC investigation lawyers provide urgent legal advice, assess your personal exposure as a director, and develop a defence strategy to protect your interests.
Our ASIC investigation lawyers meticulously review documents for legal professional privilege, prepare you thoroughly for Section 19 examinations, and negotiate with ASIC on the timing, format, and scope of your response.
In civil penalty proceedings, our lawyers challenge ASIC’s evidence, argue for reduced penalties, and defend against director disqualification applications. Where the matter is referred for criminal prosecution, our Accredited Criminal Law Specialists represent directors facing charges for fraud, dishonesty, insider trading, and other serious corporate offences.
Whether you are facing a compliance review or a serious criminal referral, our ASIC investigation lawyers work tirelessly to negotiate with ASIC, seek reduced penalties, challenge enforcement actions, or aim for the matter to be resolved without prosecution. We understand the severe implications of an ASIC investigation for your career, your reputation, and your freedom.
Yes. If you receive a formal investigative tool such as a Section 19 notice, search warrant, or production notice, compliance is compulsory. Failure to comply is contempt of court and a criminal offence. However, “cooperate” does not mean answering questions without legal advice. You must comply with formal notices, but your ASIC investigation lawyer can negotiate the timing, format, and scope of your response to protect your interests.
Yes, but only for communications directly between you and your lawyer made for the purpose of obtaining legal advice or for litigation. Communications with accountants, consultants, or company staff are not privileged. If you share privileged documents with ASIC, the privilege is lost permanently.
Tell your ASIC investigation lawyer before producing any documents so privilege can be properly assessed and claimed. Privilege can also be waived by careless handling of documents or by disclosing privileged communications to third parties. Our lawyers will advise on which documents are protected before you produce anything to ASIC.
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