Commonwealth Director of Public Prosecutions v Citigroup Global Markets Australia Pty Limited (No 3 - privilege claims)

• Jurisdiction: Australia Federal only
• Judgment Date: 08 October 2021
• Neutral Citation: [2021] FCA 1208
• Court: Federal Court
• Date: 08 October 2021

Federal Court of Australia

Commonwealth Director of Public Prosecutions v Citigroup Global Markets Australia Pty Limited (No 3 – privilege claims) [2021] FCA 1208

File number:	NSD 1316 of 2020
Judgment of:	WIGNEY J
Date of judgment:	8 October 2021
Catchwords:	PRACTICE AND PROCEDURE – subpoenas for production– non-party applications to set aside subpoenas – where privilege claims pursuant to s 131 and s 131A of the Evidence Act 1995 (NSW) were upheld in committal proceedings in the Local Court – whether subpoenas issued in the Federal Court which sought production of the documents found to be privileged in the Local Court should be set aside on the basis of res judicata, estoppel or abuse of process – relevant principles concerning res judicata, cause of action estoppel, issue estoppel and abuse of process – where Local Court ruling was interlocutory and not final – res judicata and estoppel inapplicable and no abuse of process ; PRIVILEGE – interlocutory applications claiming legal professional privilege and without prejudice privilege – whether documents disclosed communications between persons in dispute in connection with an attempt to settle the dispute – whether documents disclosed legal advice or communications for the dominant purpose of obtaining or giving legal advice or providing legal services – common law principles concerning without prejudice privilege –whether it is necessary for there to be a connection between the dispute in which the negotiations occurred and the subsequent dispute in which disclosure of the negotiations is sought – nature of the required connection between the two disputes – without prejudice privilege not established – legal professional privilege claims upheld
Legislation:	Australian Securities and Investments Commission Act 2001 (Cth) Competition and Consumer Act 2010 (Cth) Corporations Act 2001 (Cth), s 674(2) Crimes (Appeal and Review) Act 2001 (NSW), s 53(3) Criminal Procedure Act 1986 (NSW), ss 47, 48, 58, 96, 222, 225(b) Director of Public Prosecutions Act 1983 (Cth), s 6(1)(b), (c) or (e) Director of Public Prosecutions Regulations 1984 (Cth), s 3(1)(a)(i) and (ii) Director of Public Prosecutions Regulations 2019 (Cth), s 6(1)(a)(i) and (v) Evidence Act 1995 (Cth), s 131 Evidence Act 1995 (NSW), ss 131, 131A Judiciary Act 1903 (Cth), s 68
Cases cited:	Administration of Papua and New Guinea v Daera Guba (1973) 130 CLR 353 Ainslie v Ainslie (1927) 39 CLR 381 Assistant Treasurer and Minister for Competition Policy and Consumer Affairs v Cathay Pacific Airways Ltd (2009) 179 FCR 323; [2009] FCAFC 105 Attorney-General (NSW) v Stuart (1994) 34 NSWLR 667 Australian Competition and Consumer Commission v NSW Ports Operations Hold Co Pty Ltd [2020] FCA 1232 Australian Securities and Investments Commission v Australia and New Zealand Banking Group Ltd (2019) 138 ACSR 42; [2019] FCA 964 Barnes v Commissioner of Taxation (2007) 242 ALR 601; [2007] FCAFC 88 Barnetson v Framlington Group Ltd [2007] 1 WLR 2443 Batistatos v Roads and Traffic Authority (NSW) (2006) 226 CLR 256; [2006] HCA 27 Blair v Curren (1939) 62 CLR 464 Brimaud v Honeysett Instant Print Pty Limited (1988) 217 ALR 44 Brouwer v Titan Corporation Limited (1997) 73 FCR 241 Carl Zeiss Stiftung v Rayner & Keeler Ltd (No 2) [1967] 1 AC 853 Carr v Finance Co of Australia Ltd (1981) 147 CLR 246 Castillon v P & O Ports Limited (No. 2) [2008] 2 Qd R 219; [2007] QCA 364 Clayton v Bant (2020) 385 ALR 41; [2020] HCA 44 Computer Edge Pty Ltd v Apple Computer Inc. (1984) 54 ALR 767 D’Orta-Ekenaike v Victoria Legal Aid (2005) 223 CLR 1; [2005] HCA 12 Dow Jones & Co Inc v Gutnick (2002) 210 CLR 575; [2002] HCA 56 Dowling v Ultraceuticals Pty Ltd (2016) 93 NSWLR 155; [2016] NSWSC 386 Esso Australia Resources Ltd v Commissioner of Taxation (1999) 201 CLR 49 Field v Commissioner for Railways for New South Wales (1957) 99 CLR 285 Glengallan Investments Pty Ltd v Arthur Andersen [2002] 1 Qd R 233; [2001] QCA 115 Grassby v The Queen (1989) 168 CLR 1 Hall v Nominal Defendant (1966) 117 CLR 423 Hamilton v Oades (1989) 166 CLR 486 Harrington v Lowe (1996) 190 CLR 311 at 323 Hong Kong Bank of Australia Ltd v Murphy (1992) 28 NSWLR 512 Howell v O’Brien [2009] NSWSC 538 Inasmuch Community Inc v Bright [2006] NSWCA 99 Joseph Lynch Land Co Ltd v Lynch [1995] 1 NZLR 37 Kuligowski v Metrobus (2004) 220 CLR 363; [2004] HCA 34 Licul v Corney (1976) 180 CLR 213 Makhoul v Barnes (1995) 60 FCR 572 Marsh v Adamson (1985) 9 FCR 408 Mercantile Mutual Custodians Pty Ltd v Village/Nine Network Restaurants & Bars Pty Ltd [2001] 1 Qd R 276 Moti v The Queen (2011) 245 CLR 456; [2011] HCA 50 Oceanic Sun Line Special Shipping Co Inc v Fay (1988) 165 CLR 197 Paulo v Commissioner of Police [2021] NSWSC 517 Plaintiff S164/2018 v Minister for Home Affairs (2018) 361 ALR 8; [2018] HCA 51 Potier v Maloney [2005] NSWSC 336 R v Gray; Ex parte Marsh (1985) 157 CLR 351 R v Storey (1978) 140 CLR 364 Ramsay v Pigram (1968) 118 CLR 271 Ridgeway v The Queen (1995) 184 CLR 19 Rippon v Chilcotin Pty Ltd (2001) 53 NSWLR 198; [2001] NSWCA 142 Rogers v The Queen (1994) 181 CLR 251 Rush & Tompkins Ltd v Greater London Council [1989] 1 AC 1280 Santos v Delphi Petroleum Pty Ltd [2002] SASC 272 Somodaj v Australian Iron and Steel Limited (1963) 109 CLR 285 State Bank of New South Wales Ltd v Stenhouse Ltd (1997) Aust Torts Reports ¶81-423 Taylor v Ansett Transport Industries Ltd (1987) 18 FCR 342 Thoday v Thoday [1964] P 181 Tomlinson v Ramsey Food Processing Pty Limited (2015) 256 CLR 507; [2015] HCA 28 Trawl Industries of Australia Pty Ltd (in liq) v Effem Foods Pty Limited (1992) 36 FCR 406 Vasiljkovic v Honourable Brendan O’Connor (2010) 276 ALR 326; [2010] FCA 1246 Walton v Gardiner (1993) 177 CLR 378 Wilson v Union Insurance Co (1992) 112 FLR 166 Windsor v Sydney Medical Service Co-operative Ltd (No 2) [2009] FCA 704 Yokogawa Australia Pty Ltd v Alstom Power Ltd (2009) 262 ALR 738; [2009] SASC 377
Division:	General Division
Registry:	New South Wales
National Practice Area:	Federal Crime and Related Proceedings
Number of paragraphs:	191
Date of hearing:	27 May and 1 June 2021
Counsel for the Prosecutor:	Ms T Epstein
Solicitor for the Prosecutor:	Commonwealth Director of Public Prosecutions
Counsel for the Fifth Accused:	Mr J Kirk...