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Organizations Or Individuals?
How Regulators Decide Which Party To Go After

Watch this free video to learn how to prevent market abuse in your firm

In this video, corporate compliance attorney Jonathan Armstrong from Cordery Compliance and Terry Dawson from StarCompliance discuss how regulators decide whether to apply sanctions to individuals or organizations. Organizations more often than not “surrender” to authorities rather than risk a public court fight. They “accept guilt” and go about “cleaning up” their organization. For individuals, the stain of being charged with wrongdoing is so life-changing that they are more likely to go to court and fight for an acquittal. In some areas, then, regulators are increasingly likely to pursue corporations. Jonathan Armstrong offers advice on how firms can protect themselves and their employees from finding themselves on the wrong side of good regulation or from an overly aggressive regulatory body.

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