The Guidelines explain:

  • what enforcement responses are available to the Commission
  • what factors are taken into account when deciding which response to use
  • our approach to taking enforcement action.

The Guidelines focus on five enforcement tools:

  • Compliance Letters
  • Warning Letters
  • Agreed Outcomes (eg, enforceable undertakings)
  • Infringement Notices
  • Court Proceedings

Read more

Enforcement Response Guidelines PDF (342 KB)

A complete list of the regulatory tools available to the Commission can be seen in the diagram below.


Enforcement response regulatory toolkit diagram

If the Commission decides to take enforcement action, we will select a response aimed at stopping the unlawful conduct, deterring future breaches and remedying the harm.

How the Enforcement Response Guidelines changed in 2024

We updated our enforcement response guidelines in 2024.

Although the original 2013 guidelines were still mostly fit-for-purpose, the Commission wanted to reflect the changes in how it has approached enforcement over the past decade. This includes:

  • encouraging more self-reporting of breaches and cooperation
  • introducing the ‘Stop Now’ letter that may be issued by the Commission
  • giving practical examples of other mitigating steps that can be taken (eg, product recall)
  • listing more factors that we will consider before deciding to prosecute.

The guidelines apply to all legislation enforced by the Commission, some of which was previously excluded in the 2013 version.

The updated guidelines also align with the Solicitor-General’s Prosecution Guidelines, particularly regarding the use of warnings. This includes:

  • more engagement by the Commission with the parties to discuss the proposed content of the warning letter
  • more consideration given to what is – or is not – published
  • a new one month review period for recipients after issuing
  • a new take-down process in relation to the ‘Clean Slate’ legislation.

The Guidelines have also been updated to be more accessible and focussed on our enforcement tools.

The 2013 Enforcement Response Guidelines are still available on our website.