ROCpod: Talking with the Registered Organisations Commission
Episode 36: ROC Inquiries and investigations
In our episode of ROCpod we talk about our regulatory response to non-compliance, which can range from engagement and education through to litigation and shine a spotlight on ROC inquiries and investigations.
We discuss how the ROC’s investigations, financial reporting and education functions work together to promote compliance and good governance in registered organisations.
2:44 The ROC's approach to non-compliance
6:58 Section 331 investigations vs whistleblower investigations
8:59 How inquiries are different to investigations
11:11 The ROC's investigation powers
17:38 The purpose of conducting investigations and inquiries
Downloads and links
Episode 36 transcript
Episode 30: Whistleblower investigations: what you can expect
Episode 31: Good governance in practice: financial decision-making
Inquiries, investigations and litigation
Compliance update: Are you using your credit cards appropriately?
Book a 'ROC to You' visit
Other ROCpod episodes
- Episode 35: Making your rules work for you
- Episode 34: Good governance in practice: compliant committees of management
- Episode 33: Managing conflicts of interest
- Episode 32: Auditing in our jurisdiction – what auditors want you to know
- Episode 31: Good governance in practice: financial decision-making
- Episode 30: Whistleblower investigations: what you can expect
- Episode 29: The annual return: Compliance simplified
- Episode 28: The ROC Executive Director on priorities for 2021–22
- Episode 27: Good governance in practice: Building trust through transparency
- Episode 26: Do you know who your related parties are?
- Episode 25: Good governance in practice: the duties of officers
- Episode 24: Corporate governance experiences and what registered organisations can learn from them
- Episode 23: Is it time to change your registered auditor?
- Episode 22: Lodge on time, one time, every time
- Episode 21: Lessons from the Federal Court
- Episode 20: Good governance in practice: creating a 'speak up' culture
- Episode 19: Election exemptions - what they are and how do they work?
- Episode 18: Working together to assist registered organisations
- Episode 17: Good governance in practice: conflicts of interest
- Episode 16: The Commissioner: 2020 and the year ahead
- Episode 15: Good governance in practice: officer induction
- Episode 14: The ROC Toolbox
- Episode 13: Good governance in practice: holding meetings
- Episode 12: Working together for an efficient election
- Episode 11: Good governance in practice: record keeping and decision making
- Episode 10: Behind the scenes with the ROC
- Episode 9: Help for organisations during the COVID-19 pandemic
- Episode 8: How the ROC regulates
- Episode 7: Demystifying the ORP statement
- Episode 6: Spotlight on whistleblower disclosures
- Episode 5: Dual registration
- Episode 4: Who is an officer?
- Episode 3: Interview with the Commissioner
- Episode 2: The importance of good governance
- Episode 1: What to expect from your auditor
ROCpod is the official podcast of the Registered Organisations Commission. It is copyright to the Commonwealth of Australia. The opinions expressed in ROCpod are the opinions of the particular speaker and not necessarily the opinions of the Registered Organisations Commission. This information is general and is not intended to be comprehensive, it is designed to assist in gaining an understanding of the relevant provisions of the legislation, the ROC and its work. The ROC is not able to provide legal or accounting advice. For further information please see the materials on our website www.roc.gov.au or contact us at firstname.lastname@example.org