Australian Business - Regulatory Compliance Checklist - Lawyers Pt Macquarie NSW Australia


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GWM Lawyers and Conveyancers Australian Business Compliance Checklist Introduction & Download Regulatory Compliance Employment Compliance Occupational Health & Safety Compliance Owner Compliance
Australian Business Regulatory Compliance Regulatory compliance may be broken down into legislation and regulations imposed by Local, State and Australian Commonwealth Government.
Local Government
Confirm that the business is carried on in accordance with the applicable zoning regulations.
Ensure that a copy of the development consent (as applicable) is available and regularly reviewed for compliance.
Confirm that the business is not in breach of health or other relevant Local Government regulations such as those pertaining to matters such as signs etc.
Check fire safety requirements of local council (eg annual submission of compliance certificate).
State Government Business name/licence
Confirm that the business name is registered and that the certificate is prominently displayed.
Confirm that all requisite licences are held by the business. Check procedure for re-registration of all applicable licences.
Consumer Protection
If involved in the provision of credit or finance note the Consumer Credit Act and Code.
If involved in the retail of goods or services and/or their advertisement note Sale of Goods Act 1923 and the Fair Trading Act 1987. Note that there are provisions applicable to misleading and deceptive conduct, unconscionable conduct and conditions, warranties, refunds and the like. If abuse of power note Contracts Review Act 1980.
Is there specific legislation that is applicable to the business?
Business Activities
Is the business involved in any activities that are covered by Australian legislation including the Environment Protection Amendment Legislation Act 2002 and the Environmentally Hazardous Chemicals Act 1985.
Australian Commonwealth Government Consumer Protection
Note that the Trade Practices Act applies to situations relating to activities by corporations and includes the following:- where there is unconscionable conduct where there is misleading or deceptive conduct conditions and warranties goods not of merchantable quality collusive conduct abuse of market power infringement of intellectual property
Document Handling
Where a business is involved in dealings with personal information in particular circumstances regard must be had to the Privacy Act 1988 and the Privacy Amendment ( Private Sector ) Act 2000.
Financial Sector
Where a business is involved in the provision of financial advice and products regard must be had to the Financial Services Reform Act and the Corporations Act, 2001. The Financial Transaction Reports Act 1988 imposes a duty to report particular transactions to the applicable regulatory authority.
Revenue Authorities
Regard must be had to applicable legislation.
Australian Business Compliance Checklist Disclaimer This document is not intended to be a definitive or exhaustive review of all Australian business compliance requirements, but merely a process that explores possible areas for improvement.

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