Queensland Numbered Acts Queensland Numbered ActsChapter 12 —
insert—
532L Definitions for part In this part—
"associated person" , for an investigated person, means—(a) for an investigated person that is an insurer—an officer of the insurer; or(b) for an investigated person that is a related body corporate for an insurer—an officer of the body corporate; or(c) for an investigated person that is a law practice—(i) an associate of the law practice; or(ii) a barrister briefed by the law practice in relation to a claim the Regulator reasonably suspects is connected to a contravention of section 325R(1) or (2) or 325T; or(d) for an investigated person who is a lawyer—a barrister briefed by the lawyer in relation to a claim the Regulator reasonably suspects is connected to a contravention of section 325R(1) or (2) or 325T.
"claim" means—(a) an application for compensation; or(b) a claim for damages.
"investigated person" means any of the following—(a) an insurer mentioned in section 532N(1);(b) an entity mentioned in section 532N(2);(c) a body corporate mentioned in section 532P.
"investigator" means a person appointed under section 532N.
532M Reference to document includes reference to reproductions from electronic document(1) A reference in this part to a document includes a reference to an image or writing—(a) produced from an electronic document; or(b) not yet produced, but reasonably capable of being produced, from an electronic document, with or without the aid of another article or device.(2) In this section—
"electronic document" means a document of a type mentioned in the Acts Interpretation Act 1954 , schedule 1, definition
"document" , paragraph (c).
532N Appointment of investigator(1) If the Regulator considers it desirable in the public interest, the Regulator may appoint an investigator to investigate the affairs of an insurer.Note—See also section 532P.(2) Also, the Regulator may appoint an investigator to investigate the relevant affairs of either of the following entities—(a) a law practice or lawyer that is acting or has acted for a claimant;(b) an entity prescribed by regulation for this section.(3) The Regulator may appoint an investigator under subsection (2) if the Regulator reasonably suspects that section 325R(1) or (2) or 325T may have been contravened by the investigated person or an associated person for the investigated person.(4) The Regulator may, by written instrument, appoint any of the following persons as an investigator—(a) an Australian legal practitioner;(b) a qualified accountant;(c) another appropriately qualified person.(5) The instrument of appointment must state the terms of appointment and the matters into which the investigation is to be made.(6) The instrument of appointment may state a period within which the investigation must be completed.(7) Without limiting the Acts Interpretation Act 1954 , section 25, the Regulator may, by written notice given to the investigator—(a) amend the instrument of appointment; or(b) end the appointment.(8) In this section—
"Australian legal practitioner" see the Legal Profession Act 2007 , section 6.
"qualified accountant" means—(a) a member of CPA Australia Ltd ACN 008 392 452 who is entitled to use the letters ‘CPA’ or ‘FCPA’; or(b) a member of Chartered Accountants Australia and New Zealand ARBN 084 642 571 who is entitled to use the letters ‘CA’ or ‘FCA’; or(c) a member of the Institute of Public Accountants Ltd ACN 004 130 643 who is entitled to use the words ‘MIPA’ or ‘FIPA’.
"relevant affairs" , of an investigated person, means matters relating to how the investigated person received or was referred instructions for a claim, and how the investigated person gave or referred instructions for a claim, and includes a transaction involving the investigated person or an associated person for the investigated person relevant to the receipt or referral of instructions.
532O Delegation of powers by investigator(1) An investigator may delegate a power under this part other than the power to administer an oath or affirmation or the power to examine on oath or affirmation.(2) A delegate must produce the instrument of delegation for inspection on request by an investigated person or an associated person for an investigated person.
532P Investigation of related body corporate If an investigator considers it necessary, in investigating the affairs of an insurer, to investigate the affairs of a body corporate that is or has at any relevant time been a related body corporate for the insurer, the investigator may investigate the affairs of the body corporate with the Regulator’s written agreement.
532Q Powers of investigators(1) An investigator may, by written notice, require an investigated person or an associated person for an investigated person—(a) to produce to the investigator a document that is in the custody or control of the investigated person or associated person; and(b) to give the investigator all reasonable help in connection with the investigation.(2) An investigator may, by written notice, require an investigated person, or an associated person for an investigated person, who is an individual to appear before the investigator for examination on oath or affirmation.(3) An investigator may administer an oath or affirmation.(4) For an electronic document, compliance with the requirement requires the giving of a clear image or written version of the electronic document.(5) In this section—
"electronic document" means a document of a type mentioned in the Acts Interpretation Act 1954 , schedule 1, definition
"document" , paragraph (c).
532R Documents produced to investigator(1) If a document is produced to an investigator under this part, the investigator may keep the document for the period that the investigator reasonably considers necessary for the investigation.(2) The investigator must allow a person who would be entitled to inspect the document if it were not being kept by the investigator to inspect the document at all reasonable times.(3) The investigator must allow an owner of the document to copy it.
532S Examination of investigated person or associated person(1) An investigated person or associated person for an investigated person must not—(a) fail to comply with a lawful requirement (a
"relevant requirement" ) of an investigator to the extent the person is able to comply with it; or(b) in purported compliance with a relevant requirement, give information to an investigator knowing it to be false or misleading in a material particular; or(c) when appearing before an investigator for examination under a relevant requirement—(i) state anything knowing it is false or misleading in a material particular; or(ii) fail to be sworn or to make an affirmation.Penalty—Maximum penalty—300 penalty units or 2 years imprisonment.(2) Subsection (1) does not apply to a person if the person, when giving information in a document—(a) tells the investigator, to the best of the person’s ability, how the information is false or misleading; and(b) if the person has, or can reasonably obtain, the correct information—gives the correct information to the investigator.(3) A person who complies with a relevant requirement of an investigator under this section does not merely because of the compliance—(a) contravene a provision of an Act or a law imposing a statutory or commercial obligation or restriction to maintain secrecy; or(b) incur any civil liability.(4) A person required to attend for examination under this part is entitled to the allowances and expenses prescribed by regulation.
532T Self-incrimination and legal professional privilege(1) This section applies to a person who is an investigated person or an associated person for an investigated person if the person is required to answer a question put to the person by, or produce a document to, an investigator.(2) The person is not excused from failure to comply with the requirement on the basis that complying—(a) might tend to incriminate the person or expose the person to a penalty; or(b) for an investigated person mentioned in section 532N(2) or an associated person for an investigated person mentioned in section 532N(2), would disclose a privileged client communication.(3) The investigator must inform the person, in a way that is reasonable in the circumstances, that—(a) the person must comply with the requirement even though complying—(i) might tend to incriminate the person or expose the person to a penalty; or(ii) would disclose a privileged client communication; and(b) if the person is an individual—under section 532ZA, there is a limited immunity against the future use of the information or document given in compliance with the requirement.(4) If the person is an individual and the individual fails to comply with the requirement when the investigator has failed to comply with subsection (3), the individual may not be convicted of the offence against section 532S(1).(5) If, in complying with a requirement made under section 532S, the person discloses a privileged client communication—(a) the person is taken for all purposes not to have breached legal professional privilege in complying with the requirement; and(b) the disclosure does not constitute a waiver of legal professional privilege or otherwise affect any claim of legal professional privilege for any purpose other than a proceeding for an offence against chapter 6B, part 2 or section 325P, 325R(1) or (2) or 325T.(6) In this section—
"privileged client communication" means communication protected against disclosure by legal professional privilege that operates for the benefit of a client of an investigated person.
532U Failure of person to comply with requirement of investigator(1) If an investigated person or associated person for an investigated person fails to comply with a requirement of an investigator, the investigator may give the Supreme Court a certificate about the failure to comply.(2) If an investigator gives a certificate under subsection (1), the court may inquire into the case and may order the person to comply with the requirements of the investigator within a period fixed by the court.
532V Recording of examination(1) An investigator must make a record of the questions asked and the answers given at an examination under this chapter.(2) Subject to section 532ZA, a record of the examination of a person under this part may be used in evidence in a legal proceeding against the person.(3) The investigator must, on the written request of the person, give a copy of the record of the examination to the person without fee.(4) The record must be included with the investigator’s final report on the investigation.(5) Nothing in this section affects or limits the admissibility of other written or oral evidence.
532W Report of investigator(1) An investigator may, and if directed by the Regulator must, make interim reports about a special investigation to the Regulator.(2) On the completion or termination of the investigation, the investigator must report to the Regulator the investigator’s opinion on the matters under investigation, together with the facts on which the opinion is based.(3) A copy of a final report must, and a copy of the whole or part of an interim report may, be given by the Regulator to the investigated person that is the subject of the report.(4) However, the Regulator is not bound to give an investigated person a copy of a report, or a part of the report, if the Regulator considers it would not be appropriate to disclose the report, or part of the report, to the person that is the subject of the report.(5) The Regulator may publish on its website and any other place the Regulator considers appropriate the whole or a part of a report only if—(a) the investigated person the subject of the report is convicted of an offence against chapter 6B; and(b) the Regulator considers publishing the report or part of the report is in the public interest.(6) If a report given to the Regulator is accompanied by a record of an examination made under section 532V, the Regulator may give a copy of the record to any person, and on the conditions, the Regulator considers appropriate.
532X Documents taken during investigation(1) On the completion or termination of an investigation, an investigator must give the Regulator any documents the investigator has taken possession of under this part.(2) The Regulator may—(a) keep the documents for the period the Regulator reasonably considers necessary to enable a decision to be made about whether or not a legal proceeding ought to be started in relation to the investigation; and(b) keep the documents for any further period the Regulator considers necessary to enable a legal proceeding to be started or continued.(3) The Regulator may, during the period the documents are kept by the Regulator—(a) allow a person to inspect the documents; and(b) allow the use of the documents for a legal proceeding started because of the investigation.(4) The Regulator must allow a person who would be entitled to inspect a document if it were not being kept by the Regulator to inspect the document at all reasonable times.
532Y Costs of investigation(1) This section applies if an investigated person is convicted of an offence against section 325R(1) or (2) or 325T.(2) The Regulator may recover the costs of and incidental to an investigation under this chapter from the investigated person.
532Z Other offences about investigations(1) A person must not—(a) conceal, destroy, mutilate or alter a document of or about an investigated person or associated person for an investigated person; or(b) send, cause to be sent or conspire with someone else to send out of the State a document mentioned in paragraph (a) or any property belonging to or under the control of the investigated person or associated person for the investigated person.Penalty—Maximum penalty—300 penalty units or 2 years imprisonment.(2) It is a defence to a prosecution of an offence against subsection (1) for the defendant to prove that the defendant did not act with intent to defeat the purposes of this part or to delay or obstruct the carrying out of an investigation under this part.
532ZA Evidential immunity for individuals complying with particular requirements(1) This section applies if an individual gives or produces information or a document to an investigator under section 532Q.(2) Evidence of the information or document, and other evidence directly or indirectly derived from the information or document, is not admissible against the individual in any proceeding to the extent it tends to incriminate the individual, or expose the individual to a penalty, in the proceeding.(3) However, this section does not apply to—(a) a proceeding about the false or misleading nature of the information or anything in the document or in which the false or misleading nature of the information or document is relevant evidence; or(b) a proceeding for an offence against chapter 6B, part 2 or section 325P, 325R(1) or (2) or 325T.
532ZB Extraterritorial application of part(1) This part applies both within and outside Queensland to the extent necessary for any investigation of—(a) a contravention of chapter 6B, part 2 or section 325P, 325R(1) or (2) or 325T; or(b) the affairs of an investigated person under section 532N(2).(2) For subsection (1), this part applies outside Queensland to the full extent of the extraterritorial legislative power of the Parliament.
532ZC Confidentiality of information(1) An investigator must not, whether directly or indirectly, disclose confidential information.Penalty—Maximum penalty—100 penalty units.(2) However, subsection (1) does not apply if—(a) the confidential information is disclosed—(i) in the performance of functions under this part; or(ii) with the written consent of the person to whom the information relates; or(iii) to the person to whom the information relates; or(iv) in a form that could not identify any person; or(b) the disclosure of the confidential information is authorised under an Act or another law.(3) In this section—
"confidential information" means information that has become known to an investigator in the course of performing the investigator’s functions for this part.