C-Suite Workshop: Modern Slavery, Anti-Bribery & Corruption, Privacy and Whistleblowers presented by Stephen Booth and Peter Stewart at Coleman Greig, Parramatta
9-22-11 Anti-Bribery and Corruption PreventionKendal Peterson
The document discusses the growing risk of bribery and corruption offenses and outlines an anti-bribery and corruption training program. It notes that bribery and corruption fines have increased significantly in recent years. It then describes a flexible online training program with multiple courses that can be tailored to focus on the Foreign Corrupt Practices Act, UK Bribery Act, or both. The training is designed to help organizations mitigate risks and demonstrate having adequate procedures to prevent bribery.
Neill Blundell provides an update of recent bribery activity around the world and discusses whether it is a real issue for business or merely an overstated problem.
- Bribery is illegal and has negative effects on businesses, individuals, and society. The Bribery Act 2010 was introduced to modernize UK bribery law and tackle all forms of bribery.
- The course aims to help learners understand the key provisions of the Bribery Act 2010, identify potential bribery risks, understand the principles and implications for business, explain why anti-bribery measures are essential, and know what an anti-bribery policy includes.
- There are six main principles of the Bribery Act 2010 that guide organizations' anti-bribery procedures: proportionate procedures, top-level commitment, risk assessment, due diligence,
This webinar covered deferred prosecution agreements and bribery/corruption enforcement in the UK and worldwide. It discussed the UK Bribery Act and investigations by the UK Serious Fraud Office, including the first prosecutions of individuals and a company under the Act. It also summarized the new deferred prosecution agreement process in the UK and notable agreements, fines, and convictions of companies and individuals for foreign bribery in the UK. Attendees were invited to ask any questions.
The document provides an overview of fraud and bribery issues for charities. It discusses the Bribery Act 2010 and defines what constitutes a bribe. It also summarizes two recent BDO investigations - Project Active involved CEO and FD fraud through improper payments, while Project Florence involved allegations a charity subsidiary obtained a contract through bribery. The document aims to raise awareness of fraud risks charities face and provide guidance on controls and compliance.
Blake lapthorn Bribery Act Thames Valley HR forum - 13 september 2011Blake Morgan
The document summarizes the UK Bribery Act 2010. It discusses how the UK ranked 11th but fell to 20th on a corruption index. It then outlines the main provisions of the Act, including prohibiting bribery, influencing public officials, and failing to prevent bribery by associated parties. It also discusses penalties like imprisonment and fines. Finally, it provides guidance on adequate procedures for complying with the Act, such as risk assessment, top-level commitment, due diligence, training, and monitoring.
Edward Craft. Julian Mathews Master Class in English Law Course part2. 07.06....Awara Direct Search
The document discusses the UK Bribery Act 2010, which created new bribery offenses and established a corporate offense of failing to prevent bribery. It outlines the Act's provisions, including creating offenses for actively and passively bribing individuals, bribing foreign officials, and failing to prevent bribery by employees. It also discusses guidance from the Ministry of Justice on complying with the Act through adequate procedures and a nine-step compliance plan. The presentation compares differences between the UK Bribery Act and the US Foreign Corrupt Practices Act.
9-22-11 Anti-Bribery and Corruption PreventionKendal Peterson
The document discusses the growing risk of bribery and corruption offenses and outlines an anti-bribery and corruption training program. It notes that bribery and corruption fines have increased significantly in recent years. It then describes a flexible online training program with multiple courses that can be tailored to focus on the Foreign Corrupt Practices Act, UK Bribery Act, or both. The training is designed to help organizations mitigate risks and demonstrate having adequate procedures to prevent bribery.
Neill Blundell provides an update of recent bribery activity around the world and discusses whether it is a real issue for business or merely an overstated problem.
- Bribery is illegal and has negative effects on businesses, individuals, and society. The Bribery Act 2010 was introduced to modernize UK bribery law and tackle all forms of bribery.
- The course aims to help learners understand the key provisions of the Bribery Act 2010, identify potential bribery risks, understand the principles and implications for business, explain why anti-bribery measures are essential, and know what an anti-bribery policy includes.
- There are six main principles of the Bribery Act 2010 that guide organizations' anti-bribery procedures: proportionate procedures, top-level commitment, risk assessment, due diligence,
This webinar covered deferred prosecution agreements and bribery/corruption enforcement in the UK and worldwide. It discussed the UK Bribery Act and investigations by the UK Serious Fraud Office, including the first prosecutions of individuals and a company under the Act. It also summarized the new deferred prosecution agreement process in the UK and notable agreements, fines, and convictions of companies and individuals for foreign bribery in the UK. Attendees were invited to ask any questions.
The document provides an overview of fraud and bribery issues for charities. It discusses the Bribery Act 2010 and defines what constitutes a bribe. It also summarizes two recent BDO investigations - Project Active involved CEO and FD fraud through improper payments, while Project Florence involved allegations a charity subsidiary obtained a contract through bribery. The document aims to raise awareness of fraud risks charities face and provide guidance on controls and compliance.
Blake lapthorn Bribery Act Thames Valley HR forum - 13 september 2011Blake Morgan
The document summarizes the UK Bribery Act 2010. It discusses how the UK ranked 11th but fell to 20th on a corruption index. It then outlines the main provisions of the Act, including prohibiting bribery, influencing public officials, and failing to prevent bribery by associated parties. It also discusses penalties like imprisonment and fines. Finally, it provides guidance on adequate procedures for complying with the Act, such as risk assessment, top-level commitment, due diligence, training, and monitoring.
Edward Craft. Julian Mathews Master Class in English Law Course part2. 07.06....Awara Direct Search
The document discusses the UK Bribery Act 2010, which created new bribery offenses and established a corporate offense of failing to prevent bribery. It outlines the Act's provisions, including creating offenses for actively and passively bribing individuals, bribing foreign officials, and failing to prevent bribery by employees. It also discusses guidance from the Ministry of Justice on complying with the Act through adequate procedures and a nine-step compliance plan. The presentation compares differences between the UK Bribery Act and the US Foreign Corrupt Practices Act.
Privacy Act, Spam Act and "the Cloud" seminar (May 2014)Tom Meagher
If you are interested in how the newly amended Privacy Act and the current Spam Act may affect your business and marketing plans, and also how such applies if you do business in the "cloud", you engage in eCommerce or use data-hosting facilities, then this is for you.
The document provides an overview and updates on privacy laws in Canada, including PIPEDA, PHIPA, and provincial privacy acts. It discusses obligations around collecting, using, and disclosing personal information, particularly in the context of corporate transactions and cross-border data transfers. Breach notification requirements are also outlined. Recent court rulings establish employees' privacy rights over work computer material and find no common law tort for privacy invasion currently exists in Canada.
The document provides an overview and updates on privacy laws in Canada, including PIPEDA, PHIPA, and provincial privacy acts. It discusses obligations around collecting, using, and disclosing personal information, particularly in the context of corporate transactions and cross-border data transfers. Breach notification requirements are also outlined. Recent court rulings establish employees' privacy rights over work computer material and find no common law tort for privacy invasion.
This document discusses whistleblowing and its importance. It provides definitions and notes that whistleblowing involves raising genuine concerns about wrongdoing in the workplace. While protections exist, whistleblowers often face negative consequences. The document then outlines the legal protections for whistleblowers under the Public Interest Disclosure Act and regulatory expectations for effective whistleblowing policies and procedures. It gives an overview of Ofqual's approach to handling whistleblowers and data on disclosures received. Challenges in addressing whistleblowing are also discussed.
Brought to you in partnership with BCL Legal Recruitment, our first session of the year covered the following areas:
• contract and IT update - see what just happened whilst you weren’t looking! Richard Nicholas will look at the practical steps you should take to draft around or negotiate the latest changes
• employment update - Modern Slavery, bad, spying on staff, good? How to protect your business from your employees whilst complying with modern slavery law. James Tait, Elish Kennedy and Kerren Daly will be your guides
• data protection update - after three years of negotiation, the General Data Protection Regulation is now published and the changes will be significant (Brexit or no Brexit) - you had better be ready! Helena Wootton will show you how
• consumer law - one year in, some practical consequences of the Act and solutions to common problems faced by retailers and others - Caroline Green and Alex Watt have this covered
• corporate update - are you a person of significant control and influence (of course you are). This will start to matter this year, as companies are required to identify and register these individuals. How do you do that and what does this mean? Don’t worry, we’ll show you.
https://www.brownejacobson.com/sectors-and-services/sectors/in-house-legal
In house lawyers forum, Nottingham & Birmingham - March 2016Browne Jacobson LLP
Brought to you in partnership with BCL Legal Recruitment, our first session of the year covered the following areas:
• contract and IT update - see what just happened whilst you weren’t looking! Richard Nicholas will look at the practical steps you should take to draft around or negotiate the latest changes
• employment update - Modern Slavery, bad, spying on staff, good? How to protect your business from your employees whilst complying with modern slavery law. James Tait, Elish Kennedy and Kerren Daly will be your guides
• data protection update - after three years of negotiation, the General Data Protection Regulation is now published and the changes will be significant (Brexit or no Brexit) - you had better be ready! Helena Wootton will show you how
• consumer law - one year in, some practical consequences of the Act and solutions to common problems faced by retailers and others - Caroline Green and Alex Watt have this covered
• corporate update - are you a person of significant control and influence (of course you are). This will start to matter this year, as companies are required to identify and register these individuals. How do you do that and what does this mean? Don’t worry, we’ll show you.
https://www.brownejacobson.com/sectors-and-services/sectors/in-house-legal
Mba1034 cg law ethics week 14 ethics international business 072013Stephen Ong
This document provides an overview of ethics in international business. It discusses several key topics:
- International law and institutions that govern interactions between countries and foreign firms.
- The challenges of cultural relativism versus universal ethics principles when operating across borders. Firms must balance local customs with fundamental human values.
- Human rights and justice issues that sometimes arise from government policies in developing countries.
- Responsibilities of companies for working conditions in supplier factories. Several case examples are provided.
- The issues of questionable payments and corruption to foreign officials. Various laws and guidelines for companies are outlined.
The document summarizes recent developments in anti-corruption regulation and enforcement in Latin America. It notes shifts in the economic and political landscape in several countries that impact corruption risks. New and strengthened anti-corruption laws have been passed in Brazil, Mexico, and other countries, while enforcement has increased through international cooperation and cases reaching further jurisdictions. Surveys still find corruption to be a significant challenge for businesses in many Latin American countries. The document then provides more specific updates on anti-corruption laws and issues in Colombia, Argentina, Mexico, and Chile.
This document summarizes a webinar on fraud in the public sector. The webinar discusses the definition of fraud, sectors and industries most commonly impacted by fraud, who typically commits fraud, and reasons why fraud occurs. Specific examples of potential public sector fraud in Canada are provided. The webinar also outlines steps that can be taken to reduce fraud risk, such as establishing clear roles and responsibilities, implementing appropriate prevention and detection controls, and regularly communicating fraud management results. Common fraud detection methods and key elements of an effective fraud risk management program are also summarized.
Presentation held at the beginning of February 2017 at the Institute of Risk Management Regional Group Switzerland. The presentation gives an overview on current compliance trends and emphasizes the importance of a sound and embedded compliance culture for companies.
In this age of global business operations and opportunities, it is a business imperative to have an effective FCPA Compliance Program. In this webinar co-hosted with Paul Murdock of MCG Consulting we explore and discuss Foreign Corrupt Practices Act compliance and actions to achieve a FCPA Compliance Program.
For a full video of the recording visit: https://mco.mycomplianceoffice.com/mco-webinar/foreign-corrupt-practices-act-fcpa-compliance-webinar
This document summarizes a discussion on the future of charity regulation in the UK. It covers several topics:
1. Changes to fundraising regulation including new requirements under the Charities Act 2016 for fundraising agreements and reporting, changes to the Institute of Fundraising Code, and the new Fundraising Regulator.
2. Changes to data protection regulation with the new GDPR and requirements for consent, security breaches, and data processing.
3. Increased powers for the Charity Commission including more investigation and enforcement actions against charities.
4. New powers for charities to undertake social investment to further their charitable purposes while also achieving a financial return.
5. Debate around charities and ethical investment,
REDTRAY Inspirations Event: Compliance and croissants the bribery act 2010 finalKate Graham
These presentations were delivered at the Inspirations event on 18 January 2011, focused on the new Bribery Act and the implications for UK organisations. Hosted by REDTRAY and Grant Thornton, we were joined by expert guest speakers from both Grant Thornton and Duane Morris.
This is the presentation from our 2012 Nonprofit Seminar focused on Legal Issues All Nonprofits Should be Ready for.
Topics Included in this presenation:
Nuts and Bolts of Hiring and Disciplinary Actions for Nonprofits
Charitable Solicitations and Registration
What Board Members Should Know and Do/Form 990
Visit us at www.cbslawfirm.com to learn more.
Management training assignment 3 advanced accounting bayo caryBayo Cary
This is a management training slide show, for a post certificate master's degree program, in a business administration, with a specialization, in advanced accounting. The slide show is power point, timed, and about Fraud Prevention and Evidence Collection.
The document discusses money laundering prevention. It outlines the objectives of increasing awareness of anti-money laundering responsibilities and regulations. Non-compliance can result in penalties like imprisonment, fines, license revocation and more. Key aspects of money laundering prevention covered include know-your-customer procedures, suspicious transaction reporting, and the importance of monitoring transactions for consistency with customer profiles.
This presentation discusses raising awareness and comprehension of compliance programs to prevent corruption. It covers defining key terms like bribery, fraud, and corruption. It also outlines key anti-corruption trends driving greater compliance, such as increasing scrutiny, law reform, and disclosure obligations. Specific examples of corruption at an organization are provided. The presentation emphasizes the importance of organizational culture and ethics in enhancing compliance. It also discusses benefits to organizations of having robust integrity systems like reputation, lower costs, and attracting top talent.
The document provides information about identity theft and safeguards against it. It discusses the following key points:
1) Identity theft can take many forms including financial, medical, drivers license, and social security identity theft. Over 900 million records have been lost or stolen since 2005.
2) The Fair and Accurate Credit Transactions Act (FACTA) requires companies to develop and implement identity theft prevention programs to help detect and mitigate identity theft risks. It affects any business that collects personal information.
3) Companies must appoint an information security officer, develop written identity theft prevention plans, provide employee training, and oversee service providers according to privacy and security laws. Failure to do so could result in lawsuits and fines.
This document provides information on fraud and corruption laws in Malawi. It defines types of fraud such as corruption, asset appropriation, and financial statement fraud. It also lists examples of fraud like embezzlement and forgery. The document discusses who typically commits fraud, such as politicians, employees, and suppliers. It notes that fraud often occurs due to opportunity, pressure, and rationalization. The document outlines levels of fraud control in Malawi and sectors where fraud is common, like procurement. It provides suggestions for authorities and organizations to strengthen compliance with anti-fraud requirements through coordinated implementation and training.
The presentation deals with the concept of Right to Default Bail laid down under Section 167 of the Code of Criminal Procedure 1973 and Section 187 of Bharatiya Nagarik Suraksha Sanhita 2023.
Weitere ähnliche Inhalte
Ähnlich wie C-Suite Workshop presented by Stephen Booth and Peter Stewart on 10 April 2019
Privacy Act, Spam Act and "the Cloud" seminar (May 2014)Tom Meagher
If you are interested in how the newly amended Privacy Act and the current Spam Act may affect your business and marketing plans, and also how such applies if you do business in the "cloud", you engage in eCommerce or use data-hosting facilities, then this is for you.
The document provides an overview and updates on privacy laws in Canada, including PIPEDA, PHIPA, and provincial privacy acts. It discusses obligations around collecting, using, and disclosing personal information, particularly in the context of corporate transactions and cross-border data transfers. Breach notification requirements are also outlined. Recent court rulings establish employees' privacy rights over work computer material and find no common law tort for privacy invasion currently exists in Canada.
The document provides an overview and updates on privacy laws in Canada, including PIPEDA, PHIPA, and provincial privacy acts. It discusses obligations around collecting, using, and disclosing personal information, particularly in the context of corporate transactions and cross-border data transfers. Breach notification requirements are also outlined. Recent court rulings establish employees' privacy rights over work computer material and find no common law tort for privacy invasion.
This document discusses whistleblowing and its importance. It provides definitions and notes that whistleblowing involves raising genuine concerns about wrongdoing in the workplace. While protections exist, whistleblowers often face negative consequences. The document then outlines the legal protections for whistleblowers under the Public Interest Disclosure Act and regulatory expectations for effective whistleblowing policies and procedures. It gives an overview of Ofqual's approach to handling whistleblowers and data on disclosures received. Challenges in addressing whistleblowing are also discussed.
Brought to you in partnership with BCL Legal Recruitment, our first session of the year covered the following areas:
• contract and IT update - see what just happened whilst you weren’t looking! Richard Nicholas will look at the practical steps you should take to draft around or negotiate the latest changes
• employment update - Modern Slavery, bad, spying on staff, good? How to protect your business from your employees whilst complying with modern slavery law. James Tait, Elish Kennedy and Kerren Daly will be your guides
• data protection update - after three years of negotiation, the General Data Protection Regulation is now published and the changes will be significant (Brexit or no Brexit) - you had better be ready! Helena Wootton will show you how
• consumer law - one year in, some practical consequences of the Act and solutions to common problems faced by retailers and others - Caroline Green and Alex Watt have this covered
• corporate update - are you a person of significant control and influence (of course you are). This will start to matter this year, as companies are required to identify and register these individuals. How do you do that and what does this mean? Don’t worry, we’ll show you.
https://www.brownejacobson.com/sectors-and-services/sectors/in-house-legal
In house lawyers forum, Nottingham & Birmingham - March 2016Browne Jacobson LLP
Brought to you in partnership with BCL Legal Recruitment, our first session of the year covered the following areas:
• contract and IT update - see what just happened whilst you weren’t looking! Richard Nicholas will look at the practical steps you should take to draft around or negotiate the latest changes
• employment update - Modern Slavery, bad, spying on staff, good? How to protect your business from your employees whilst complying with modern slavery law. James Tait, Elish Kennedy and Kerren Daly will be your guides
• data protection update - after three years of negotiation, the General Data Protection Regulation is now published and the changes will be significant (Brexit or no Brexit) - you had better be ready! Helena Wootton will show you how
• consumer law - one year in, some practical consequences of the Act and solutions to common problems faced by retailers and others - Caroline Green and Alex Watt have this covered
• corporate update - are you a person of significant control and influence (of course you are). This will start to matter this year, as companies are required to identify and register these individuals. How do you do that and what does this mean? Don’t worry, we’ll show you.
https://www.brownejacobson.com/sectors-and-services/sectors/in-house-legal
Mba1034 cg law ethics week 14 ethics international business 072013Stephen Ong
This document provides an overview of ethics in international business. It discusses several key topics:
- International law and institutions that govern interactions between countries and foreign firms.
- The challenges of cultural relativism versus universal ethics principles when operating across borders. Firms must balance local customs with fundamental human values.
- Human rights and justice issues that sometimes arise from government policies in developing countries.
- Responsibilities of companies for working conditions in supplier factories. Several case examples are provided.
- The issues of questionable payments and corruption to foreign officials. Various laws and guidelines for companies are outlined.
The document summarizes recent developments in anti-corruption regulation and enforcement in Latin America. It notes shifts in the economic and political landscape in several countries that impact corruption risks. New and strengthened anti-corruption laws have been passed in Brazil, Mexico, and other countries, while enforcement has increased through international cooperation and cases reaching further jurisdictions. Surveys still find corruption to be a significant challenge for businesses in many Latin American countries. The document then provides more specific updates on anti-corruption laws and issues in Colombia, Argentina, Mexico, and Chile.
This document summarizes a webinar on fraud in the public sector. The webinar discusses the definition of fraud, sectors and industries most commonly impacted by fraud, who typically commits fraud, and reasons why fraud occurs. Specific examples of potential public sector fraud in Canada are provided. The webinar also outlines steps that can be taken to reduce fraud risk, such as establishing clear roles and responsibilities, implementing appropriate prevention and detection controls, and regularly communicating fraud management results. Common fraud detection methods and key elements of an effective fraud risk management program are also summarized.
Presentation held at the beginning of February 2017 at the Institute of Risk Management Regional Group Switzerland. The presentation gives an overview on current compliance trends and emphasizes the importance of a sound and embedded compliance culture for companies.
In this age of global business operations and opportunities, it is a business imperative to have an effective FCPA Compliance Program. In this webinar co-hosted with Paul Murdock of MCG Consulting we explore and discuss Foreign Corrupt Practices Act compliance and actions to achieve a FCPA Compliance Program.
For a full video of the recording visit: https://mco.mycomplianceoffice.com/mco-webinar/foreign-corrupt-practices-act-fcpa-compliance-webinar
This document summarizes a discussion on the future of charity regulation in the UK. It covers several topics:
1. Changes to fundraising regulation including new requirements under the Charities Act 2016 for fundraising agreements and reporting, changes to the Institute of Fundraising Code, and the new Fundraising Regulator.
2. Changes to data protection regulation with the new GDPR and requirements for consent, security breaches, and data processing.
3. Increased powers for the Charity Commission including more investigation and enforcement actions against charities.
4. New powers for charities to undertake social investment to further their charitable purposes while also achieving a financial return.
5. Debate around charities and ethical investment,
REDTRAY Inspirations Event: Compliance and croissants the bribery act 2010 finalKate Graham
These presentations were delivered at the Inspirations event on 18 January 2011, focused on the new Bribery Act and the implications for UK organisations. Hosted by REDTRAY and Grant Thornton, we were joined by expert guest speakers from both Grant Thornton and Duane Morris.
This is the presentation from our 2012 Nonprofit Seminar focused on Legal Issues All Nonprofits Should be Ready for.
Topics Included in this presenation:
Nuts and Bolts of Hiring and Disciplinary Actions for Nonprofits
Charitable Solicitations and Registration
What Board Members Should Know and Do/Form 990
Visit us at www.cbslawfirm.com to learn more.
Management training assignment 3 advanced accounting bayo caryBayo Cary
This is a management training slide show, for a post certificate master's degree program, in a business administration, with a specialization, in advanced accounting. The slide show is power point, timed, and about Fraud Prevention and Evidence Collection.
The document discusses money laundering prevention. It outlines the objectives of increasing awareness of anti-money laundering responsibilities and regulations. Non-compliance can result in penalties like imprisonment, fines, license revocation and more. Key aspects of money laundering prevention covered include know-your-customer procedures, suspicious transaction reporting, and the importance of monitoring transactions for consistency with customer profiles.
This presentation discusses raising awareness and comprehension of compliance programs to prevent corruption. It covers defining key terms like bribery, fraud, and corruption. It also outlines key anti-corruption trends driving greater compliance, such as increasing scrutiny, law reform, and disclosure obligations. Specific examples of corruption at an organization are provided. The presentation emphasizes the importance of organizational culture and ethics in enhancing compliance. It also discusses benefits to organizations of having robust integrity systems like reputation, lower costs, and attracting top talent.
The document provides information about identity theft and safeguards against it. It discusses the following key points:
1) Identity theft can take many forms including financial, medical, drivers license, and social security identity theft. Over 900 million records have been lost or stolen since 2005.
2) The Fair and Accurate Credit Transactions Act (FACTA) requires companies to develop and implement identity theft prevention programs to help detect and mitigate identity theft risks. It affects any business that collects personal information.
3) Companies must appoint an information security officer, develop written identity theft prevention plans, provide employee training, and oversee service providers according to privacy and security laws. Failure to do so could result in lawsuits and fines.
This document provides information on fraud and corruption laws in Malawi. It defines types of fraud such as corruption, asset appropriation, and financial statement fraud. It also lists examples of fraud like embezzlement and forgery. The document discusses who typically commits fraud, such as politicians, employees, and suppliers. It notes that fraud often occurs due to opportunity, pressure, and rationalization. The document outlines levels of fraud control in Malawi and sectors where fraud is common, like procurement. It provides suggestions for authorities and organizations to strengthen compliance with anti-fraud requirements through coordinated implementation and training.
Ähnlich wie C-Suite Workshop presented by Stephen Booth and Peter Stewart on 10 April 2019 (20)
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4. CG In-House Training
Performance Management, Feedback and
Managing Terminations
Behaving Badly in the Workplace
Competition Law: What is acceptable,
and what to do if the ACCC calls
Consumer Law: How not to be misleading
or deceptive
A Complete Guide to Credit Management
Directors’ Duties: How to comply and
manage the risks
Protecting Intellectual Property and
Confidential Information
A series of seminars for managers and employees:
6. Upcoming Events
Employment Law Workshop
Terminations: WHS, Drugs and Alcohol
Presented by Stephen Booth and Anna Ford
Tuesday, 7 May 2019
Coleman Greig Parramatta Office
Accountants and Financial Planners Briefing
Headwinds in the Property Market: Weathering the storm
with your clients
Presented by Andrew Grima
Friday, 12 April 2019
Penrith RSL Club
7.
8. to access the presentation after the event.
Follow Coleman Greig Lawyers on
11. Context
The general context includes:
• 7/11 and franchisees exploiting workers
• other serious underpayment cases
verging on slavery
• vulnerable workers legislation attacking
underpayments in franchise chains and
within company groups
• big business using the cheapest
contractors or labour hirers – and the
workers being exploited
12. Context
• labour hire regulation:
Qld
Vic
SA
• Migrant Worker Taskforce: recommends Federal legislation – labour hire
regulation for horticulture, cleaning, security, meat processing
• and increased penalties and enforcement powers akin to ACCC
13. Modern slavery – NSW legislation
• companies with turnover over $50m
• with employees in NSW, engaged in supplying goods and services for gain,
• obligation to report on steps taken to ensure supply chain does not involve
modern slavery, areas of risk, steps taken to manage risk, training
• modern slavery defined as committing a variety of offences under Crimes
Act, Criminal Code Act, Human Tissue Act: slavery, servitude, forced
labour, human trafficking, debt bondage, sexual servitude
• penalties up to $1.1m for failure to prepare or publish statement or
publishing statement including false or misleading information
• government agencies mandated to take reasonable steps to ensure goods
and services procured are not the product of modern slavery
• Regulations awaited to put more flesh on the bones
14. Modern slavery – Federal legislation
• effective 1 July 2019: first report for 2019-20 if that is FY
• Australian resident companies with revenue over $100m
• and resident trusts and corporate limited partnerships, and other
partnerships formed or resident in Australia
• obligation to report annually
• public register
• report on risks, actions taken including assessment, due diligence,
remediation, policies and processes, training
• no penalty (but if there is a change in government …)
• covers “serious exploitation” – not mere substandard working conditions
or underpayment
15. Modern slavery in Australia
• chef living in storeroom, washing in bucket:
Ram v D&D Indian Fine Food [2015] FCCA 389
• fruitpickers, trolley collectors, cleaners
• passports and visas held by employer …
• having company at the ATM …
• repercussions back in the village
• cultural networks
16. Modern slavery in Australia – how is this
supposed to work?
• a reporting obligation, not an obligation to do anything or to be perfect
• but the report is intended to assist consumers to choose
• and to focus businesses on looking for and removing risks in their supply
chains
• and publicity will spread the word and create an incentive to do better
• to do the report you have to make enquiries
• and the people of whom enquiries are made will not have $50m or
$100m turnover
• so the reach of the legislation will spread
17. Supply chain due diligence: what to do?
• Dept of Home Affairs Modern Slavery Act 2018 – Draft Guidance for
reporting entities
• www.homeaffairs.gov.au/how-to-engage-us-subsite/files/draft-modern-
slavery-act-reporting-entity-guidance.pdf
• out for consultation prior to final version
• emphasis on risk-based approach: assess risks and address most
significant
• more a matter of being actively engaged than having solved all problems –
at least in the early period of operation
18. Modern slavery – Federal legislation
Risks:
• you operate a factory using exploited labour
• you demand the cheapest possible labour and ignore evidence of
exploitation, or turn a blind eye to costs which prove exploitation
• you set unreasonable targets for delivery, which can only be met by
exploitation
• you sell products containing minerals coming from a country or region
known to use forced labour
• you fund overseas infrastructure and the local client uses contractors who
use forced labour
• reporting requires a scoping exercise, working off a list of risk factors and
making enquiries
• Australian or 1st World supply less risky – 3rd World more risky
19. And down the supply chain …
• companies having to report will want you
to guarantee your suppliers are clean
• codes of conduct to be complied with
• disclosure required: eg tell me who your
suppliers are and their addresses
• IP and confidentiality issues
20. Individual responsibility:
What to do?
• don’t recommend dodgy practices
• dissociate yourself from any you
find or which others propose
• dissociate yourself on the record:
– paper trail (emails, reports,
minutes …)
– refuse to participate?
• resign?
22. The law and the risks
• bribery and corruption illegal in
Australia
• AND OVERSEAS: conduct in
Australia, or outside Australia by
Australian company, citizen or
resident – Australian Criminal Code
• penalties for individuals of up to 10
years imprisonment and fines of
$2.1m
• penalties for corporations up to
$21m, three times the benefit
derived or 10% of annual group
turnover.
23. Improper payments
• paying or offering money or other
things of value with the purpose of
retaining or obtaining business
• direct or indirect (eg if channelled via
a third party)
• gifts, loans, services, shares, travel,
future employment …
• minor “facilitation payments” to
ensure routine things get done may be
OK (get advice before proceeding)
24. Foreign official
• elected officials
• government employees
• employees of government enterprises
• employees of international organisations
(UN, WTO, WHO, EU etc)
• employees, contractors, consultants
• all broadly defined: eg academics at
universities?
• and this can be very grey overseas
25. Risks
• unusually high or last-minute commissions, or commission recommended
by the government official
• commission by cash payment, payment out of the country, payment in
advance, payment split between different people
• unusually high price or price put up at customers instigation
• agents being totally inexperienced or asking for secrecy
• rumours, bad vibes …
26. Proposed legislation
• Crimes Legislation Amendment (Combatting Corporate Crime)
Bill 2017(Cth)
• strict liability for failure to prevent, detect and respond to
potential corruption: if associate convicted company liable
unless adequate prevention measures proven
• government to publish guidance on prevention?
• encourages corporate culture of compliance
• Deferred Prosecution Agreements: akin to enforceable
undertakings to allow prosecutors to make arrangements with
accused companies for remedial action to avoid prosecution
• encourages self-reporting to obtain leniency
27. Cost of erring: Securency
• 1999-2004: bribes to officials at note-issuing authorities in
Indonesia, Malaysia, Vietnam and Nepal - success fee
commissions paid, knowing some would be paid to officials
• RBA subsidiaries paid nearly $23m in penalties
• CEO: conspiring to bribe foreign officials in Malaysia and
Indonesia, and false accounting: 3 years suspended
• CFO: false accounting to conceal commissions: 6 months
suspended
• Managers: false accounting : 3 months suspended
• KL employee: 30 months suspended after 3 months in gaol
during extradition
30. a. Collection, storage and use of Personal Information governed by Privacy
Act 1988 ('Act'), Healthcare Identifiers Act 2010 ('HI Act'),My Health
Records Act 2012
b. Act enforced and monitored by the Office of the Australian Information
Commissioner (‘OAIC’)
c. Personal Information defined:
i. “… information or an opinion, whether true or not, and whether
recorded in a material form or not, about an identified individual or
an individual who is reasonably identifiable”
ii. eg: name, signature, address, phone number, DOB, Medicare
Number, TFN, medical records, bank details, commentary/opinion
about the person.
iii. Generally excludes employee records in private sector
31. e. Schedule 1: 13 Australian Privacy Principles (APPs):
• The open and transparent management of personal information
• Obligation to take reasonable steps to implement practices and
procedures and systems to ensure compliance (including having a
privacy policy)
• An individual having the option of transacting anonymously or using
a pseudonym where practicable
• The collection of solicited personal information and receipt of
unsolicited personal information including giving notice about
collection
• How personal information can be used and disclosed (including
overseas)
32. • Maintaining the quality of personal
information
• Keeping personal information secure
• right for individuals to access and
correct their personal information
• plus… cross border disclosure, use of
government identifiers and direct
marketing, what you must do to comply,
limitations on collection, storage and
use
33. f. Who does all this apply to:
i. Australian Government
Agencies
ii. Businesses including NFPs
with t/o > $3m
iii. Some smaller businesses
including:
1. all private sector Health
Service Providers
2. those that trade in
Personal Information
35. Don’t you love statistics…
• Small businesses in Australia is the target of 43% of all cyber crime
• 60% of small businesses who experience a significant cyber breach go out
of business in the following 6 months
• 22% of small businesses that were breached by ransomware attacks in 2017
were so affected that they could not continue operating
• 87% of SME’s believe their business is safe from cyber attacks because they
use anti-virus software
• Cybercrime costs the Australia economy more than $1Bn annually
• 41% of peoples globally cannot identify a phishing e-mail
• 30% of phishing e-mails are opened, with 12% clicking on infected links or
attachments
Verizon, Microsoft, Veda, Symantec, OAIC, ACORN, PWC
Nearly two thirds of Australian companies see cyber breaches as an ‘IT
issue’, rather than a major business risk.
Australian Securities Exchange 2017 report
36. a. Commenced 22 February 2018
b. Applies as per Privacy Act but also to all Credit Providers and all
holders of TFNs regardless of turnover
c. Introduces the concept of an ‘eligible breach’
d. Introduces an obligation “to notify individuals whose personal
information is involved in a data breach that is likely to result in
serious harm”
e. Extends notification obligation to giving recommendations about
steps individuals should take in response to the breach
37. f. Obligation to notify Commissioner of
all ‘eligible data breaches’
g. Eligible Data Breach – three limbs:
i. Unauthorized access to or
disclosure of or loss of
personal information held by
an entity;
ii. Likely to result in serious harm
to one or more individuals;
iii. Entity hasn’t been able to
prevent the likely risk of
serious harm with remedial
action.
38. h. What might a breach look like?
i. Lost or stolen laptop
ii. Transfer of digital storage without adequate wiping
iii. Hacking of personal information database
iv. Employees accessing/disclosing information outside their
permitted level
v. Paper records stolen from insecure recycling or garbage facility
vi. Provision of personal information to incorrect recipient
vii. Leaving your phone on the bus
39. For example – in January 2019
• Bunnings
• Facebook
• Optus
• Marriott Hotel Group
• Hawthorne Football Club
• Big W
• Victorian Public Service
41. i. Likelihood of ‘serious harm’ – the
‘reasonable person’ test.
i. Consider type of data – financial,
identity, Sensitive?
ii. Scale of breach
iii. Existence of any safeguards such
as encryption
42. j. Nature of likely harm:
i. Identity theft?
ii. Financial loss?
iii. Threat to safety?
iv. Loss of employment / business
opportunity?
v. Humiliation, reputational or
relationship damage?
vi. Workplace or social bullying?
43. k. How do you notify?
i. Direct communication or
ii. Website and newspaper
publication
44. l. What if you get it wrong?
i. Compensation for loss or
damage
ii. Enforceable undertakings
iii. Civil penalties up to $360k for
individuals and $1.8m for
corporates
iv. Injunction preventing
offending action.
45. m. Maximising getting it right:
i. Know what personal information you collect and why
ii. Understand how it is stored and who is responsible
iii. Train staff to identify and notify situations of risk or breach
iv. Develop a plan to identify and address any breach
v. Ensure upstream contracts contain obligations to notify you
of any breach
vi. Take any breach seriously
46. n. Developing a Data Breach Response Plan
Privacy Management Framework
• Embed – a culture of Privacy
• Establish – robust and effective procedures and systems
• Evaluate – monitor, document, measure
• Enhance – based on results of Evaluate
48. a. Commenced 25 May 2018
b. In force throughout 29 member states in the EU including UK,
France, Germany, Italy
c. Applies to all Australian entities (regardless of turnover):
a. having an establishment in the EU;
b. offering goods and services in the EU; or
c. monitoring the behaviour of individuals in the EU
ie: applies to all entities processing and holding personal data of
data subjects residing in the European Union, regardless of the
entity’s location.
49. a. Introduces obligations:
a. to notify data breach to relevant supervisory body within 72 hours
except where unlikely to result in risk to the rights and freedoms of
natural persons
b. to develop data protection policies
c. to ensure ‘consent’ is demonstrable
b. Where ‘large scale, regular and systematic monitoring’, need an EU
Representative (‘Data Protection Officer’) who must undertake
compulsory impact assessment prior to data processing in ‘high risk’
situations
b. ‘Personal Data’ ‘any information relating to an identified or identifiable
natural person’ such as ‘name, ID number, location data, online identifier
or one or more factors specific to the physical, physiological, genetic,
mental, economic, cultural or social identity of that person’
50. a. ‘Consent’ - GDPR:
a. Freely given
b. Specific
c. Informed
d. An unambiguous indication of the data subject’s wishes by which he
or she, by a statement or by a clear affirmative action, signifies
agreement to the processing
‘Consent’ - Australia:
a. Express or implied;
b. Individual is adequately informed before giving consent;
c. Individual gives consent voluntarily
d. Consent is current and specific
e. Individual has capacity to understand and communicate consent
51. a. Penalties for breach of GDPR
1. Greater of:
i. 20 million Euros; or
ii. 4% of global annual turnover
2. Tiered approach – 2% for not
having records in order or for not
notifying a breach
https://www.eugdpr.org
53. The current law is set out as follows:
a. Protections in the tax and corporate sectors are found in the
Corporations Act 2001 and Taxation Administration Act 1953.
b. Protections for public interest disclosures are found in the Banking Act
1959, Insurance Act 1973, Life Insurance Act 1995 and Superannuation
Industry (Supervision) Act 1993.
c. Protections in federal legislation are found in the Public Interest
Disclosure Act 2013, the Corporations Act 2001 and the Fair Work
(Registered Organisations) Act 2009.
54. The new Bill:
• The federal government’s new
legislation, the Treasury Laws
Amendment (Enhancing
Whistleblower Protections) Bill 2018,
was passed by both Houses of
Parliament on 19 February 2019.
• The new legislation will commence
on 1 July 2019.
55. • The Bill does the following:
a. amends, consolidates and broadens the whistleblower protection
regime found in the Corporations Act 2001;
b. amends the Taxation Administration Act 1953 to create a regime for
disclosures of breaches of tax laws and tax avoidance; and
c. repeals the financial sector whistleblower protection regimes in the
Banking Act 1959, Insurance Act 1973, Life Insurance Act 1995 and
Superannuation Industry (Supervision) Act 1993.
56. • The new law:
a. broadens what type of
disclosure is protected;
b. broadens the class of who can
make protected disclosures;
c. amends the people and bodies
that can receive disclosures;
d. implements heavier penalties;
and
e. requires that public companies
and large proprietary companies
to implement a whistleblower
policy.
57. • Information can be disclosed under the following circumstances:
a. if the discloser has reasonable grounds to suspect that the
information concerns misconduct, or an improper state of affairs
or circumstances in relation to the entity;
b. if the discloser has reasonable grounds to suspect that the entity
or an officer or employee of the entity has engaged in a civil or
criminal offence or an offence under legislation that requires ASIC
or APRA’s oversight; or
c. if there is information about activity that represents a danger to
the public or financial system.
58. • The definition of eligible whistleblowers has been widened to include the
following:
a. an officer of the entity;
b. an employee of the entity;
c. an individual who supplies services or goods to the regulated entity
(whether paid or unpaid), and their employees;
d. an individual who is an associate of the entity; and
e. a relative or a dependant of any of the above individuals.
• Whistleblowers do not have to disclose their identity to be protected.
59. • The disclosure must be made to one of the following people or bodies:
a. an officer or senior manager of the company;
b. an auditor, or a member of an audit team conducting an audit into the
company;
c. an actuary of the company;
d. a person authorised by the company to receive disclosures;
e. ASIC;
f. APRA;
g. a lawyer, for the purpose of legal representation; and
h. parliament or a journalist (only where it is a public interest or
emergency disclosure).
60. Confidentiality of the disclosure
a. The identity of the whistleblower
cannot be disclosed.
b. It is not unlawful to disclose
information relating to the
disclosure provided that it is
reasonably necessary to investigate
the disclosure and steps are taken
to reduce the risk of disclosing the
whistleblower’s identity.
61. Protections and Immunities
a. The new laws expand protections for whistleblowers.
b. It is unlawful for a person to engage in conduct that causes detriment to
a whistleblower or an associate of the whistleblower in the belief of a
suspicion that the person has made, may make, proposes to make or
could make protected disclosure.
c. It is unlawful for a person to purport to terminate an employee because
of protected disclosure.
d. A person will not be subject to any civil, criminal or administrative
liability or contractual right or remedy for making a protected disclosure.
62. Whistleblower Policy
• All public companies, large proprietary companies and proprietary
companies that are the trustee of a registrable superannuation entity
must develop a whistleblower policy, which includes information about:
a. what protections are available to whistleblowers;
b. whom disclosures can be made to and how they are to be made;
c. how the company will support whistleblowers and protect them from
detriment;
d. how the company will investigate disclosures;
e. how the company will ensure fair treatment of employees; and
f. how the policy will be made available.
• This policy must be in place three months after Royal Assent is
given. Failure to have a policy can result in a penalty.
• Failure to comply is a criminal offence.
63. • The civil penalties for disclosing
whistleblower identity or victimising
a whistleblower are as follows:
a. For a body corporate: 50,000
penalty units (approx. $10.5
million), three times the benefit
derived or detriment avoided, or
10% of annual turnover.
b. For an individual: 5,000 penalty
units (approx. $1.05 million) or
three times the benefit derived
or detriment avoided.
c. The criminal penalties are:
maximum of 60 penalty units
and/or 2 years imprisonment.