Dealing with Regulators: Matters to Consider for a Strategic Response (2025) (On Demand)

This On Demand was recorded on 25 March 2025.

Receipt of a notice from a regulator can send a client into a spin. They might feel a prompt response helps their position – and not take legal advice. They might feel providing a lot of information demonstrates integrity – and disclose privileged information. Just how a client responds can have an impact on how the matter progresses – so seeking wise counsel is important.

This On Demand will cover the investigatory and enforcement powers of the Commerce Commission, Financial Markets Authority, Serious Fraud Office and Department of Internal Affairs; highlight the red flags to watch out for; and provide guidance on how to advise a client to respond when contacted by a regulator including practicalities and strategic considerations such as timeframes, document preservation, protection of privileged information, civil and criminal exposure, who to involve or not involve, dealing with media, and consequences of non-compliance.

Learning Outcomes

Become more familiar with the investigatory and enforcement powers of key regulators: the Commerce Commission, Financial Markets Authority, Serious Fraud Office and Department of Internal Affairs.
Improve your understanding of what to look out for when a client receives a notice from a regulator.
Being able to identify the raft of practicalities and strategic considerations in respect of responding to a regulator’s notice and when to seek expert advice.

Who Should Watch?

All practitioners, but particularly in-house counsel who may be the first to receive a notice and general practitioners with a commercial client base.

Presenters

Alicia Murray, Partner, Matthews Law

Andrew Matthews, Partner, Matthews Law

Alicia Murray

Alicia Murray is a commercial litigator with more than 20 years’ experience in competition law, financial services and large-scale commercial disputes. Alicia acts for clients being investigated by the Commerce Commission in relation to alleged breaches of competition law and consumer law (including Commerce Act, Fair Trading Act and Credit Contract and Consumer Finance Act issues) and the Financial Markets Authority in relation to alleged breaches of financial markets legislation.

Alicia assists clients through the whole of the investigation and enforcement experience, where having consistent representation helps to streamline the process and deliver the best value for clients. Alicia has acted for clients involved in some of the largest cartel investigations over the last 20 years, including the air cargo cartel and the real estate proceeding regarding Trade Me fees.

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Andrew Matthews

Andrew (Andy) Matthews is a top-tier competition and commercial lawyer with 30 years’ experience dealing with competition authorities in New Zealand, the UK and EU. Andy established Matthews Law in 2013. Andy is regarded as one of New Zealand’s foremost competition lawyers, consistently ranked as such by leading international directories. He is also recognised for his telecommunications regulatory expertise.

Andy advises on all aspects of competition & regulatory law including merger control, cartels & investigations, and access pricing issues, and has established relationships with the New Zealand Commerce Commission.

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Details

CPD Hours: 1.00hr

Pricing Details

Ticket Price

Member: $115 plus GST

Non member: $160 plus GST