An experienced regulatory and investigations lawyer, Richard has expertise across competition and anti-trust litigation and compliance, cartel investigations and litigation, fraud, anti-bribery and corruption, investigations, prosecutions and consumer protection. He is an experienced advisor in consumer law matters, including in the context of regulator litigation, advertising campaigns and copy.
Richard has worked closely with the major market regulators, and has significant experience in corporate investigations. This has included advising clients in investigations by the ACCC, ASIC, the Australian Federal Police, the Australian Crime Commission, NSW ICAC, Royal Commissions, inquests and internal investigations.
He regularly supports clients during compulsory examinations and the execution of search warrants.
Richard has designed and managed independent internal investigations for clients, running alongside regulator investigations. Additionally, he has designed, developed and delivered training for compliance programs, whether pro-active, or as required due to regulator action, and on board and reputational risks.
Richard is an associate member (Antitrust Section and Business Law Section) at the American Bar Association and a member at the Law Council of Australia in the Competition and Consumer Law Committee and Federal Litigation sections.
Key deals
Cartel investigations
Assisting two confidential Australian subsidiaries of foreign corporations in investigations being undertaken by the ACCC over the past two years. These separate and unrelated investigations relating to different industries allege cartel conduct by the organisations.
One investigation is continuing – and concerns aspects of IP related conduct that have been vigorously considered and litigated by EU and US regulators in that industry. The other was recently concluded, with the ACCC taking no further action, following submissions by and engagement with our team, that this was appropriate.
Major ‘Big 4’ accounting firm
Advising the firm regarding investigations conducted by ASIC, Parliamentary Inquiries and the Financial Services Royal Commission, and in relation to allegations of collusion and anti-competitive conduct and information sharing.
National franchisor
Advising on this franchisor on obligations under the Franchising Code. This has involved acting on disputes with franchisees, including engaging the formal dispute resolution procedures and mediation regime under the Franchising Code, as well as contested court proceedings. Richard also assists with litigious aspects that may flow from unresolved disputes.
Hisense Group
Assisted Hisense Group, a leading electronic and whitegoods retailer, on its entrance into the Australian market. This included advising on marketing and promotional materials, consumer guarantee obligations, unfair contract provisions, matters arising from ACCC queries and allegations made by competitors.
DELL Australia
Advising the Australian subsidiary of major PC manufacturer and storage supplier on marketing and promotional materials, consumer guarantee obligations, unfair contract provisions, matters arising from ACCC queries/investigations and negotiation of enforceable undertakings, allegations made by competitors, distribution channel arrangements and compliance training.
ASX-listed operator – payments for influence
Advising on response to the execution of search warrants by Australian Federal Police (AFP) and Australian Crime Commission (ACC) at the company’s offices and directors’ private residences. Supervised the execution of the warrants, advising on the company’s rights and obligations, and negotiating with AFP/ACC during the raids. Representing the company at interviews, the assertion and upholding of contested privilege claims, and subsequent investigation.
ASX-listed media entity
Acting for a large media entity in an ASIC investigation concerning continuous disclosure obligations, market sensitive information and insider trading. This required liaising with ASIC and representing five senior executives, including the CEO, CFO, Company Secretary and General Counsel in a series of compulsory ASIC examinations over a number of years.
Foreign Bribery
Representing an ASX and TSX-listed mining entity in allegations of corruption associated with the prospective award of mining concessions in a developing nation.
‘Big 4’ Australian bank
Advising a bank over several years during an ASIC investigation, focussing on industry benchmark setting practices. This involved working with three major forensic teams for documentary and audio recording review, design of internal investigation, the review of millions of documents and embedded liaison with the internal project team set up for the investigation.