Statute Details
- Title: Corruption, Drug Trafficking and Other Serious Crimes (Disclosure of Documents and Information) Regulations 2015
- Act Code: CDTOSCCBA1992-S6-2015
- Legislation Type: Subsidiary Legislation (SL)
- Authorising Act: Corruption, Drug Trafficking and Other Serious Crimes (Confiscation of Benefits) Act (Chapter 65A)
- Enacting Authority: Minister for Home Affairs (made in exercise of powers under section 64 of the Act)
- Commencement: 12 January 2015
- Key Provisions: Regulation 2 (definitions); Regulation 3 (disclosure of documents); Regulation 4 (disclosure of information); Regulation 5 (form and service of written notice); Regulation 6 (offences)
- Latest Version Noted in Extract: Current version as at 27 Mar 2026
- Notable Amendment in Extract: Amended by S 488/2023 with effect from 31/12/2021 (notably updating “Office” and “Officer” definitions and related references)
What Is This Legislation About?
The Corruption, Drug Trafficking and Other Serious Crimes (Disclosure of Documents and Information) Regulations 2015 (“the Regulations”) set out the practical mechanics for compelling disclosure of documents and information in connection with the confiscation regime under the Corruption, Drug Trafficking and Other Serious Crimes (Confiscation of Benefits) Act (Chapter 65A) (“the Act”). In plain terms, the Regulations explain how the Suspicious Transaction Reporting Office (“Office”) and its officers can require a person to produce documents or provide information, and what forms of submission are acceptable.
While the underlying power to require disclosure is found in the Act (specifically section 5(3)), the Regulations translate that power into enforceable procedural steps. This includes: (i) what counts as a “recognised format” for electronic submissions; (ii) whether disclosure can be made physically, by email, or through an online system; (iii) whether transcripts of documents are acceptable; and (iv) how written notices may be served.
For practitioners, the Regulations are important because they directly affect compliance strategy, evidence handling, and risk exposure. Non-compliance is criminalised, and the offences are tied to the receipt and intentional omission or intentional provision of false information in response to a written notice.
What Are the Key Provisions?
1) Definitions that shape compliance
Regulation 2 defines key terms used throughout the Regulations. Two definitions are particularly relevant in practice:
- “Office” means the Suspicious Transaction Reporting Office established under section 5(1) of the Act.
- “Officer” means a Suspicious Transaction Reporting Officer attached to the Office under section 5(2) of the Act.
These definitions matter because the power to require disclosure is exercised by an “Officer”. A challenge to disclosure may, in some cases, turn on whether the notice was issued by the correct statutory office/officer.
The Regulations also define “recognised format” for electronic submissions. In the extract, recognised formats include common file types: pdf, doc, docx, jpeg, jpg, wmv, and mpeg4. Where an Officer requires an electronic copy or electronic record, the Officer may specify additional software formats in the written notice. This flexibility is significant: it means compliance is not limited to the listed formats if the notice specifies otherwise.
Finally, “transcript” is defined (in relation to a document) as a transcript of the entire contents of that document. This is a strict concept: a partial summary is not a “transcript”.
2) Disclosure of documents (Regulation 3)
Regulation 3 addresses how a person must disclose documents when an Officer requires disclosure under section 5(3) of the Act. The Officer may require submission in multiple ways:
- Physical copy of the document;
- Transcript of the document; or
- Electronic copy in a recognised format (including a transcript in recognised format).
In addition to specifying the type of submission, Regulation 3 also permits different delivery channels:
- Submission to the Office (physical copy/transcript/electronic copy);
- Submission by electronic mail to an address specified by the Officer (either attaching the electronic copy or setting out the transcript); and
- Submission through an online system provided by the Office (again either setting out the transcript or enclosing the electronic copy).
Regulation 3(b) further provides that, for the purposes of an analysis referred to in section 5(1) of the Act, the Officer may retain or make copies of the physical copy/transcript, the electronic copy, and the email/online communication content. This is a key evidentiary and confidentiality point: once provided, the material may be copied and retained for analysis.
3) Disclosure of information (Regulation 4)
Regulation 4 parallels Regulation 3 but applies to disclosure of information rather than documents. When an Officer requires disclosure of information under section 5(3) of the Act, the Officer may require submission by:
- Physical letter setting out the information in writing, or enclosing a physical medium containing an electronic record in a recognised format;
- Email to an address specified by the Officer, either setting out the information in writing or enclosing an electronic record in a recognised format; or
- Online system provided by the Office, either setting out the information in writing or enclosing an electronic record in a recognised format.
Regulation 4(b) similarly authorises the Officer to retain or make copies of the physical letter, email, online communication, or electronic record for analysis purposes. Practically, this means that “information” submissions are not limited to narrative statements; they may include electronic records, and the Office may preserve them.
4) Form and service of the written notice (Regulation 5)
Regulation 5 is central to procedural fairness and compliance. It provides that, for the purposes of section 5(3) of the Act, an Officer may require disclosure by issuing a written notice to produce the document or information at the time and place stated in the notice.
Regulation 5(2) then sets out how the notice may be served. Service may be effected:
- By hand;
- By post;
- By electronic mail, but only if the person has consented to being served in that manner; or
- Through an online system provided by the Office, but only if the person has consented to being served in that manner.
For practitioners, the consent requirement for electronic service is important. If a notice is served electronically without the required consent, it may raise issues as to whether the notice was properly served—an issue that can be relevant to criminal liability under Regulation 6.
5) Offences for non-compliance and false information (Regulation 6)
Regulation 6 creates two offences tied to a person being served with a written notice under Regulation 5(1).
First offence (intentional omission): Any person who, being served with a written notice, intentionally omits to comply shall be guilty of an offence. Penalties on conviction are:
- Fine not exceeding $1,500; or
- Imprisonment not exceeding one month; or
- Both.
Second offence (false information): Any person who, being served with a written notice to produce information on a subject, furnishes, as true, any information that the person knows or has reason to believe is false commits an offence. Penalties on conviction are:
- Fine not exceeding $5,000; or
- Imprisonment not exceeding 6 months; or
- Both.
These provisions underscore that compliance is not merely procedural; it is also substantive. A person must take care that information provided in response to a notice is accurate, and that any omissions are not “intentional”. The mental element (“intentionally omits” / “knows or has reason to believe”) will be central in any defence or prosecution analysis.
How Is This Legislation Structured?
The Regulations are short and structured around a single disclosure mechanism:
- Regulation 1 sets out the citation and commencement date (12 January 2015).
- Regulation 2 provides definitions, including “Office”, “Officer”, “recognised format”, and “transcript”.
- Regulation 3 governs disclosure of documents under section 5(3) of the Act, including acceptable submission formats and channels, and the Officer’s ability to retain/copy materials.
- Regulation 4 governs disclosure of information under section 5(3) of the Act, again covering submission methods and retention/copying.
- Regulation 5 explains the form of the requirement (written notice to produce) and the service methods (hand, post, email with consent, online system with consent).
- Regulation 6 creates offences for intentional non-compliance and for furnishing false information.
Notably, the Regulations do not themselves set out the broader investigative context; they operate as the procedural “how” for the Act’s disclosure power.
Who Does This Legislation Apply To?
The Regulations apply to any person who is served with a written notice issued by an Officer under Regulation 5(1) for the purposes of section 5(3) of the Act. This can include individuals and entities, depending on who holds the relevant documents or information.
In terms of practical scope, the Regulations do not limit the category of persons by profession or status. Instead, the trigger is factual: whether an Officer requires disclosure of documents or information and issues a written notice specifying the time and place for production. Once served, the person must comply with the notice’s requirements regarding format, channel, and content (including accuracy for information submissions).
Why Is This Legislation Important?
For lawyers, these Regulations are important because they sit at the intersection of investigative powers and criminal enforcement. They provide a clear compliance pathway—what to submit, how to submit it, and how notices may be served—while also imposing criminal consequences for intentional non-compliance and for knowingly false information.
From a risk management perspective, Regulation 5’s service provisions and Regulation 6’s mental elements mean that practitioners should pay close attention to: (i) whether the notice was properly served; (ii) whether the recipient consented to electronic service (if applicable); (iii) the exact scope of what was required (documents vs information, and whether a transcript is acceptable); and (iv) the accuracy and completeness of any information furnished.
From an evidence and confidentiality standpoint, Regulations 3 and 4 expressly allow the Officer to retain or make copies for analysis. This affects how counsel might advise on privilege, confidentiality, and data handling—particularly where electronic records are involved and where “recognised format” requirements may necessitate conversion or extraction of data.
Related Legislation
- Corruption, Drug Trafficking and Other Serious Crimes (Confiscation of Benefits) Act (Chapter 65A) — particularly section 5 (Suspicious Transaction Reporting Office and disclosure power) and section 64 (power to make regulations)
Source Documents
This article provides an overview of the Corruption, Drug Trafficking and Other Serious Crimes (Disclosure of Documents and Information) Regulations 2015 for legal research and educational purposes. It does not constitute legal advice. Readers should consult the official text for authoritative provisions.