Application of the Securities and Exchange Commission of the United States of America under the Evidence on Commission Act 1995 (NSW) (No 2) [2020] NSWSC 1500

Supreme Court New South Wales

Medium Neutral Citation: Application of the Securities and Exchange Commission of the United States of America under the Evidence on Commission Act 1995 (NSW) (No 2) [2020] NSWSC 1500 Hearing dates: 6 and 7 October 2020; 15 October 2020 (written submissions) Date of orders: 16 October 2020 Decision date: 27 October 2020 Jurisdiction: Common Law Before: Walton J Decision: The Court made orders on 16 October 2020. Catchwords: TAKING EVIDENCE FOR FOREIGN COURT – Application for orders for examination under Evidence on Commission Act 1995 (NSW) – Where application made in respect of civil proceedings abroad – Statutory scheme – s 32(2) – Meaning of "commission of an offence" – Nature of US proceedings – Whether criminal proceedings – Where criminal proceedings pending in Australia – Whether order for examination should be made with respect to the accused in those criminal proceedings STATUTORY INTERPRETATION – Principle of legality – Common law rights and freedoms – Principle in X7 (2013) 248 CLR 92 – Whether infringement of accusatorial judicial process acts as a bar to the Court's exercise of discretion – Whether Evidence on Commission Act 1995 (NSW) expressly empowers or necessarily intends the compulsory examination of an accused prior to completion of criminal proceedings – no need for determination – Consideration of discretionary factors – Utility – Deferment Legislation Cited: Australian Crime Commission Act 2002 (Cth) Competition and Consumer Act 2010 (Cth) Evidence Act 1995 (NSW) Evidence Amendment Act 2007 (NSW) Evidence (Amendment) Act 1990 (Vic) Evidence (Audio and Audio Visual Links) Act 1998 (NSW) Evidence (Miscellaneous Provisions) Act 1958 (Vic) Evidence on Commission Act 1995 (NSW) Evidence (Proceedings in other Jurisdictions) Act 1975 (UK) Hague Convention of 18 March 1970 on the Taking of Evidence Abroad in Civil or Commercial Matters Interpretation Act 1987 (NSW) Mutual Assistance in Criminal Matters Act 1987 (Cth) Proceeds of Crime Act 2002 (Cth) Securities Act of 1933, 15 USC §§ 77a-77mm Securities Exchange Act of 1934, 15 USC § 78a Sherman Antitrust Act of 1890, 15 USC §§ 1-38 Uniform Civil Procedure Rules 2005 (NSW) Cases Cited: Application concerning Section 80 of the Supreme Court Act and Sections 119 and 128 of the Evidence Act [2004] NSWSC 614 Application of Cannar Re Eubanks [2003] NSWSC 802 Application of Computer Sciences Corporation under the Evidence on Commission Act 1995 [2019] NSWSC 777 Application of the Securities and Exchange Commission under the Evidence on Commission Act 1995 (NSW) [2020] NSWSC 1212 Attorney-General (United Kingdom) v Heinemann Publishes Pty Ltd (1988) 165 CLR 30 Australian Workers' Union v Registered Organisations Commissioner (No 7) [2019] FCA 195 British American Tobacco Australia Services Ltd v Sharon Y Eubanks for the United States of America (2004) 60 NSWLR 483; [2004] NSWCA 158 Commonwealth of Australia v Director, Fair Work Building Industry Inspectorate [2015] HCA 46 Commonwealth v Helicopter Resources Pty Ltd [2020] HCA 16 Council of the Law Society of New South Wales v Bouzanis (2017) NSWLR 488; [2017] NSWCA 330 Daniels Corporation International Pty Ltd v Australian Competition and Consumer Commission (2002) 213 CLR 543 Decker v State Coroner of NSW (1999) 46 NSWLR 415; [1999] NSWSC 369 Dietrich v The Queen (1992) 177 CLR 292 Esso Australia Resources Ltd v Commissioner of Taxation (1999) 201 CLR 49 First American Corporation v Sheikh Zayed Al-Nahyan [1999] 1 WLR 1154 Genira Trade & Finance Inc v CS First Boston and Standard Bank (London) Limited [2001] EWCA Civ 1733 Gibb v Federal Commission of Taxation (1966) 118 CLR 628 Gredd v Busson [2003] EWHC 3001 Hunington v Attrill [1893] AC 150 John Robinson and Co Ltd v Ferguson Transformers Pty Ltd (1973) 129 CLR 65 Kelly v The Queen (2004) 218 CLR 216; [2004] HCA 12 Lee v NSW Crime Commission (2013) 251 CLR 196 Oceanic v Chief Commissioner of Stamp Duties (1999) 168 ALR 211; [1999] NSWCA 416 Pickles v Gratzon (2002) 55 NSWLR 533; [2002] NSWSC 688 Project Blue Sky Inc v Australian Broadcasting Authority (1998) 194 CLR 355; [1998] HCA 28 R v Independent Broad-Based Anti-Corruption Commissioner (2016) 256 CLR 459 R v Lodhi (2006) 199 FLR 328 Ratten v The Queen (1974) 131 CLR 510 Re Application of Computer Sciences Corporation under the Evidence on Commission Act 1995 (NSW) [2017] NSWSC 810 Re Asbestos Insurance Coverage Cases [1985] All ER 716 Re Hague Convention [2008] SASC 51 Re the State of Norway (Nos 1 and 2) [1990] 1 AC 723 Re Westinghouse Electric Corporation Uranium Contract Litigation [1978] AC 547 Reid v Howard (1995) 184 CLR 1 Restricted Decision [2015] NSWSC 888 Restricted Decision [2016] NSWCA 103 Rio Tinto Zinc Corporation v Westinghouse Electric Corporation [1978] AC 547 Strickland v Commonwealth Director of Public Prosecutions [2018] HCA 53 Sykes v Richardson (2007) 70 NSWLR 66; [2007] NSWSC 418 Tjungarrayi v Western Australia (2019) 93 ALRJ 556 Tooheys Ltd v Commissioner of Stamp Duties (1961) 105 CLR 602 Tovir Investments Pty Ltd v Waverly Council [2014] NSWCA 379 Woolmington v Director of Public Prosecutions [1935] AC 462 Wright v Clarkson [2000] NSWSC 669 X7 v Australian Crime Commission (2013) 248 CLR 92; [2013] HCA 29 Texts Cited: D Pearce, Statutory Interpretation in Australia (LexisNexis Butterworths, 9th ed, 2019) G A Magnarini, "Service of Process Abroad Under the Hague Convention" (1988) 71 Marquette Law Review 649 Category: Principal judgment Parties: Summons Securities and Exchange Commission (Plaintiff)