One.Tel Limited (In Liquidation) v John David Rich and Ors

(2005) 190 FLR 443; [2005] NSWSC 226

Supreme Court of NSW

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Interrogate

Catchwords

1. Corporations
2. › Civil penalty provisions
3. › Declarations of contravention
4. › Standing to seek declaration under s 1317E
5. › Whether corporation has standing to seek declaration of contravention
6. › Corporations Act 2001 (Cth), ss 1317E, 1317J
1. Corporations
2. › Civil penalty provisions
3. › Compensation orders
4. › Whether proceedings for compensation order under s 1317H are proceedings for imposition of penalty
5. › Whether declaration of contravention is prerequisite to compensation order
6. › Corporations Act 2001 (Cth), ss 1317E, 1317H, 1317HA, 1317J
1. Corporations
2. › Civil penalty provisions
3. › Penalty privilege
4. › Whether defendants required to file evidence prior to trial
5. › Whether compulsion to provide evidence may expose defendants to penalty in other proceedings
6. › Corporations Act 2001 (Cth), ss 1317E, 1317H, 1317J
1. Statutory Interpretation
2. › Notes in statutes
3. › Status of statutory notes
4. › Whether notes added by amending legislation form part of the Act
5. › Distinction between statutory notes and marginal notes, endnotes and footnotes
6. › Acts Interpretation Act 1901 (Cth), s 13

Quick Take

Section 1317E of the Corporations Act 2001 applies only to proceedings brought by ASIC for declarations of contravention and is not a gateway to compensation orders under s 1317H or s 1317HA. Corporations seeking compensation orders under s 1317J(2) do not have standing to seek declarations of contravention. Proceedings for compensation orders under s 1317H are not proceedings for the imposition of a penalty. However, defendants in corporation-initiated compensation proceedings cannot be compelled to file evidence prior to trial where that evidence may be used by ASIC in subsequent penalty proceedings. Notes added to the Corporations Act by amending legislation are 'Statutory Notes' forming part of the Act, distinct from marginal notes, endnotes and footnotes.