Cork Chamber of Commmerce Breakfast Briefing 12 December 2002.

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Presentation transcript:

Cork Chamber of Commmerce Breakfast Briefing 12 December 2002

Role of the Director of Corporate Enforcement in relation to Company Directors Auditors and Liquidators

Outline of Presentation History Lesson Compliance Information Service Reporting by Auditors of Non-Compliance Reporting by Liquidators (Insolvent Liquidation) Investigation/Enforcement Work Options to address Non-Compliance Conclusion

History Lesson (1) McCracken (and Other) Tribunals Company Investigations McDowell Group on Company Law Compliance and Enforcement, 1998 DIRT Inquiry/Auditing Review Group Company Law Enforcement Act 2001 International Developments

History Lesson (2) “…strong indications of abuses of company law…” “…consequential public concerns must be allayed…” “…little reason to fear detection or prosecution…” “…the sound of the enforcer’s footsteps on the beat is simply never heard…”

Compliance Information Service Companies Company Directors Company Secretaries Members/Shareholders Auditors Creditors Liquidators Receivers Examiners

Auditors’ Reporting Duties Failure to maintain proper books (Old Duty) Any Indictable Offence (New Duty) ODCE/Accounting Body Guidance issued Auditor/Director Discussions 300 Reports from Auditors to date Separate Duty in Fraud Offences Act

Liquidators’ Reporting Duties Criminal Conduct (Amended Duty) Insolvent Liquidation (New Duty) ODCE Guidance issued 265 Reports so far (covering 650 Directors) Relief from Restriction Application (51%) Proceed with Restriction Application (44%) Extra Time Sought (5%)

Investigation/Enforcement Work Power to seek Registers, etc. Powers of Company Investigation Powers of Search/Seizure (with warrant) Powers of Arrest Other Powers in Insolvent Situations –Restore Property/Assets to the Company

Options re Non-Compliance Court Order Summary Prosecution Referral to the DPP Restriction/Disqualification (Administrative Penalty in due course)

Conclusion (1) Why Bother with Compliance? Our Reputation as a Place to do Business Our Need to have an Ordered Society Our Need to minimise Business Risks Our Need for Sound Competitive Enterprise Protection of Business and Government Revenue

Conclusion (2) Elements of a Compliant Environment Simplified Legislation/Regulation Accessible Compliance Information Good Reporting of Non-Compliance Effective Enforcement Arrangements