Compliance that enables, not blocks you.

A prosecution by the regulator is a formal disciplinary proceeding. It should be no surprise as it must come after the investigation of a disciplinary complaint. It means the regulator believes there is sufficient evidence of professional misconduct or unsatisfactory professional conduct to bring the matter before the appropriate tribunal for a determination (e.g. VCAT). The consequences can be costly and embarrassing, and may impede your ability to practice. However, the charges must still be proven, and the regulator must behave in accordance with their powers and the principles of administrative law. You are entitled to defend it with our support.

In most cases, yes. A prosecution does not automatically suspend your practising certificate. You can usually continue operating your firm while the matter is ongoing, unless the regulator has already decided to suspend or cancel your practising certificate. This is only done in unusual circumstances where the regulator believes there is an ongoing risk to consumers.

Once served, the matter is typically listed before the relevant Tribunal in your state (e.g. VCAT). We will write to the regulator to let them know we are acting on your behalf, so you don't have to field any more of those confronting communications on your own. There will be a timetable for evidence and submissions and sometimes, opportunities to negotiate an agreed disposition before the matter goes to a hearing. Many matters can be resolved prior to a contested hearing, limiting your costs and providing a concrete result. Early strategic advice from our team is critical in shaping how your case progresses.

Outcomes vary depending on the allegations and findings. Possible consequences can include fines, reprimands, conditions placed on your practising certificate, compensation orders, additional CPD, suspension, cancellation or variation of practising certificates. Costs orders in favour of the regulator are usually made. The key is understanding where your matter sits on the spectrum and developing a strategy (with our expertise) proportionate to the risk.

It depends on whether there is an associated negligence claim by a client. Check the terms of your policy to see if the insurer needs to be notified about a disciplinary prosecution. Generally they are separate issues. Please note also that the cost of defending a disciplinary prosecution is not usually covered by professional indemnity insurance.

Disciplinary proceedings before VCAT are generally public. Decisions are typically published, and in some cases, will be reported. That said, how a matter is handled can influence reputational impact. Strategic communication, measured cooperation and careful legal positioning can all help mitigate reputational damage.

Yes. Disciplinary prosecutions can resolve through negotiation, agreed statements of facts and agreed penalties. The decision to resolve early or defend the matter fully depends on the strength of the evidence, the regulatory history, reputational considerations and commercial impact. A clear-eyed assessment of risk is essential before choosing a path.

Make sure you have some support - it's confronting and you will find that your immediate response will likely be shock and distress. You should then: Seek independent legal advice from someone experienced in regulatory matters (that's us!). Avoid informal communication with the regulator. If you are an employee or have partners, brief your employer or partners calmly and factually. Get some advice before you do this if needs be.

A prosecution by the regulator is a formal disciplinary proceeding. It should be no surprise as it must come after the investigation of a disciplinary complaint. It means the regulator believes there is sufficient evidence of professional misconduct or unsatisfactory professional conduct to bring the matter before the appropriate tribunal for a determination (e.g. VCAT). The consequences can be costly and embarrassing, and may impede your ability to practice. However, the charges must still be proven, and the regulator must behave in accordance with their powers and the principles of administrative law. You are entitled to defend it with our support.

In most cases, yes. A prosecution does not automatically suspend your practising certificate. You can usually continue operating your firm while the matter is ongoing, unless the regulator has already decided to suspend or cancel your practising certificate. This is only done in unusual circumstances where the regulator believes there is an ongoing risk to consumers.

Once served, the matter is typically listed before the relevant Tribunal in your state (e.g. VCAT). We will write to the regulator to let them know we are acting on your behalf, so you don't have to field any more of those confronting communications on your own. There will be a timetable for evidence and submissions and sometimes, opportunities to negotiate an agreed disposition before the matter goes to a hearing. Many matters can be resolved prior to a contested hearing, limiting your costs and providing a concrete result. Early strategic advice from our team is critical in shaping how your case progresses.

Outcomes vary depending on the allegations and findings. Possible consequences can include fines, reprimands, conditions placed on your practising certificate, compensation orders, additional CPD, suspension, cancellation or variation of practising certificates. Costs orders in favour of the regulator are usually made. The key is understanding where your matter sits on the spectrum and developing a strategy (with our expertise) proportionate to the risk.

It depends on whether there is an associated negligence claim by a client. Check the terms of your policy to see if the insurer needs to be notified about a disciplinary prosecution. Generally they are separate issues. Please note also that the cost of defending a disciplinary prosecution is not usually covered by professional indemnity insurance.

Disciplinary proceedings before VCAT are generally public. Decisions are typically published, and in some cases, will be reported. That said, how a matter is handled can influence reputational impact. Strategic communication, measured cooperation and careful legal positioning can all help mitigate reputational damage.

Yes. Disciplinary prosecutions can resolve through negotiation, agreed statements of facts and agreed penalties. The decision to resolve early or defend the matter fully depends on the strength of the evidence, the regulatory history, reputational considerations and commercial impact. A clear-eyed assessment of risk is essential before choosing a path.

Make sure you have some support - it's confronting and you will find that your immediate response will likely be shock and distress. You should then: Seek independent legal advice from someone experienced in regulatory matters (that's us!). Avoid informal communication with the regulator. If you are an employee or have partners, brief your employer or partners calmly and factually. Get some advice before you do this if needs be.