ASIC investigation interview preparation checklist
A section 19 examination is compulsory and recorded — preparation is essential. This checklist helps lawyers brief clients, secure documents, and manage the interview day.
This is a 12-step checklist for preparing a client for a compulsory ASIC section 19 examination under the ASIC Act 2001 (Cth). It covers scope, privilege, and conduct of the interview.
The checklist
Review the notice
Review the section 19 notice for the subject matter and scope of investigation.
Confirm representation
Confirm the client is entitled to legal representation and arrange an attending lawyer.
Run conflict check
Run a conflict check where the firm acts for other examinees or the entity.
Assemble documents
Assemble and review documents likely to be referenced during questioning.
Rehearse chronology
Rehearse the relevant chronology and key decisions with the client.
Explain compulsion
Explain the compulsion and the limited use of answers in subsequent proceedings.
Identify privilege issues
Identify legal professional privilege issues and privilege claim procedure.
Discuss self-incrimination
Discuss self-incrimination claims and the limited direct use exception.
Plan conduct in room
Plan conduct in the room — answering style, breaks, note review.
Prepare for transcript
Prepare for transcript review and corrections after the examination.
Manage confidentiality
Manage confidentiality obligations and dealings with third parties post-examination.
Plan follow-up work
Plan any follow-up production notices and parallel civil exposure.
When this checklist applies
Use when advising a client about to attend a compulsory ASIC examination or investigation interview.
Common pitfalls
- Lawyer not briefed on the full investigation scope
- Privilege claims not prepared in advance
- Client unsure whether to claim self-incrimination
- Documents not reviewed before the interview
- Transcript corrections not submitted within the allowed period
Run this checklist on a real matter
Quillio can summarise regulator investigation scope and prepare witness chronology summaries. See /practice-areas/regulatory or start a free trial.
General ASIC investigation guidance. Each examination turns on facts and any parallel criminal exposure — verify privilege strategy with specialist counsel.
Use this checklist on your matter.
Quillio can run this checklist on a specific NSW conveyancing matter — confirm each item, calculate adjustments, and generate the supporting documents. The free trial requires no credit card.
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