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.


Episode highlights

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
Compliance update: Are you using your credit cards appropriately?
Episode 30: Whistleblower investigations: what you can expect
Episode 31: Good governance in practice: financial decision-making
Inquiries, investigations and litigation
Book a 'ROC to You' visit



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 regorgs@roc.gov.au