> About CBS  > Compliance and enforcement  > Priority guidelines

On this page

• Level of Penalty
• Duration of Conduct
• Consumer Detriment/Detriment
• Civil, Disciplinary or Criminal Breach
• Better Addressed by Private Action
• Likelihood of Success
• Public Interest
• Breach of Fiduciary Duties and Fraudulent Conduct
• Previous Conviction, Complaint or Court Order
• Level of Profit from the Conduct
• Blatant Conduct

Priority guidelines are used to ensure a balance of:

• appropriate resource utilisation

• responsive and relevant compliance and

• maximum overall effectiveness of compliance activities.

Any given matter may not meet all guidelines, but some matters will become more pressing because of the severity or the consequence of the alleged conduct.

The following guidelines are taken into account:

Level of Penalty

The maximum penalty set by Parliament guides OCBA in determining how seriously conduct should be viewed.

Duration of Conduct

Continuing misconduct or misconduct over a long period is likely to receive higher priority than isolated or one-off misconduct.

Consumer Detriment/Detriment

Matters that involve high levels of consumer detriment or detriment to industry have greater priority than those of low consumer detriment.

Civil, Disciplinary or Criminal Breach

Where a person engages in some kind of conduct that is prohibited or restricted by legislation, the legislation itself gives an indication of what Parliament thinks is the appropriate response to it. Commonly, it provides for the imposition of a penalty. If the legislation provides for a variety of responses, such as taking civil action, bringing disciplinary proceedings, or laying criminal charges for certain conduct, it is an indication that, according to the circumstances of the case, any one of those may be an appropriate response. The issue of which remedy should be pursued must be considered in all the circumstances of the case as known at the time.

Better Addressed by Private Action

The more suitable a matter is for private action by parties, the less likely it is that OCBA will apply a high priority to it.

Likelihood of Success

It may not be an appropriate use of resources to pursue action that has only a small chance of success.

Public Interest

Matters of high public interest will be given greater priority than those that are of low public interest.

Breach of Fiduciary Duties and Fraudulent Conduct

Breaches of fiduciary duties (including, but not limited to misappropriation or misapplication of trust monies) are likely to be of greater priority than those that do not involve breaches of fiduciary duties. Similarly, the greater the nature and extent of a fraud involved in the conduct, the greater the priority that OCBA will apply to the matter.

'Fraud' in this context includes:

• misleading or deceptive conduct

• fraudulent conversion

• obtaining monies by false pretences.

Where the conduct is outside the jurisdiction of OCBA, the matter will be referred to an appropriate enforcement body eg SAPOL, ACCC, or interstate Fair Trading Offices.

Previous Conviction, Complaint or Court Order

Matters involving parties who have been convicted previously, or had their licences suspended for similar conduct, or been warned previously for the alleged or similar conduct, are likely to be given greater priority than those involving alleged first offenders. This is also to be considered when looking at what level of compliance action may be appropriate. A first time offender on a minor matter may receive a warning. A re-offender may reasonably expect more severe action.

Level of Profit from the Conduct

The greater the level of profit derived by the person from the alleged illegal conduct, the greater the priority that will be applied to the matter.

Blatant Conduct

Blatant conduct may indicate a greater level of wrongdoing and therefore require higher priority than less blatant conduct.

• Home

• Media releases

• Popular pages
  • Business advice
  • Consumers advice
  • Youth advice
  • Online services

• Languages

• A-Z Search

• Help