Ken Joseph Quoted in Thomson Reuters Article on Pros and Cons of Self Reporting

Regulators in recent years have been encouraging registered firms to self-report violations. In exchange for coming forward, firms are offered leniency in the form of reduced fines and penalties, or in some rare instances, no penalty at all. Although that may sound like a no-brainer at most firms, it might not be.

Some compliance officers question whether self-reporting is a good idea for all firms in every instance. Self-reporting can have serious consequences for firms and individuals which must also be considered. There are a host of considerations and preparations firms must undertake when considering whether and how to go about self-reporting.

This article offers some of the pros and cons and considerations of self-reporting, with insight into the decisions and processes in this relatively new issue in regulatory obligations.

Read the full article here.

2019-03-06T00:00:00.0000000 0001-01-01T00:00:00.0000000 /about-us/news/ken-joseph-quoted-in-thomson-reuters-article /-/media/assets/images/news/featured-images/2019/ken-joseph-quoted-in-thomson-reuters-article-on-self-reporting.ashx news {C8894F56-FF6C-4DEA-AB91-58D66A7F0624}

Related Services

Case Studies

Insights

News

Events