By Owain Stone, John Temple-Cole, David Van Homrigh, Matthew Fleming, and Jarrod Baker
Should you negotiate or defend when the subject of regulatory action?
When a company is confronted with an investigation by a financial regulator, it has the choice of either defending the action or negotiating an outcome.
In this article, Glen Unicomb from our Sydney office draws upon his extensive regulatory experience to discuss, from an investigator's perspective, what a company should consider when deciding whether to enter into strategic engagement with a financial regulator following the commencement of an investigation.
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The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
