This is a case study in strict liability offences that resulted in a non-conviction and good behaviour bond for a period of 12 months.
What is alleged to have occurred?
Our client was a Melbourne-based publicly listed company that was charged by ASIC with 8 offences under the Corporations Act 2001 (Cth).
The charges included six counts of failing to lodge a financial report, one count of failing to have the appropriate number of directors, and one count of failing to have a company secretary. The charges were subject to significant maximum penalties including fines and/or imprisonment.
The charges were for offences known as ‘strict liability offences’, meaning it is not necessary for the prosecution to prove that the company intended to commit the offences, only that they did in fact occur.
What happened at court?
Before the court hearing, our lawyers were successful in negotiating the charges into a single rolled-up charge. This was important because the number of charges has a bearing on the extent of the penalty that might be imposed.
During the sentencing hearing, our lawyers emphasised a number of factors that were favourable to our client including that neither the company nor the director had any previous convictions, that full admissions were made regarding the failure in corporate oversight that led to the charges being laid, and that once the breaches were identified, our client had moved immediately to rectify them.
Neither the corporation, nor the sole director, had faced any criminal charges before and the company had partnerships with some of Australia’s most recognisable brands. Therefore, our strategy in approaching and finalising this matter involved consideration of how best to minimise the risk of any negative media attention.
Our client had an exceptional reputation in both the business community, and personally, and a number of character references were provided that confirmed this was the case.
Given the calibre of companies that our client worked with, it was imperative that we secured a non-conviction outcome.
What was the result?
We successfully submitted that there was no intention to deceive and that the offending was the result of the tragic deaths of the directors that were responsible for this area of corporate governance of the organisation. Our client was sentenced to a non-conviction and good behaviour bond for a period of 12 months.
Edward Kline-Marantelli
Edward's legal practice is primarily focussed on criminal and commercial litigation with a strong interest in white-collar crime and regulatory disputes. He was also previously a Judge’s Associate in the Supreme Court of Victoria.Edward has experience in dealing with a broad range of criminal matters including complex legal disputes that involve disadvantaged clients. He supports clients through practical, straightforward advice and exceptional advocacy.
View Edward Kline-Marantelli's profile.
DISCLAIMER: This is a real case study of an actual case from our files. Details pertaining to the client have been changed to protect their privacy. The sentence imposed and the charge have not been altered. These case studies are published to demonstrate real outcomes and give an indication of possible tariffs in Court. We do not guarantee a similar case on these charges will get the same result. Please note that we post results at our discretion, therefore while many case studies are average results, others are notable for their exceptional outcomes. PUBLISHED 01/11/2024
