Criminal referral
Referral of a matter by a regulator to prosecutors for possible criminal charges.
Overview
Many regulators can only pursue civil or administrative remedies themselves. When conduct may be criminal, such as wilful sanctions violations or fraud, they refer it to prosecutors like the US Department of Justice.
It connects most directly to US Department of Justice, Enforcement authority and Sanctions.
Check the official sources below for legal scope, applicable dates and exceptions. This entry is an explanatory reference, not legal advice.
Why it matters
Criminal exposure extends to individuals, not just the firm.
Who it affects
Executives, compliance officers and firms in AML, sanctions, securities and safety-critical sectors.
Connections
The terms most closely tied to Criminal referral. Select one to open it.
What to do about it
- 1Note which authorities hold this power over you.
- 2Weight the obligations behind it by the consequence it carries.
- 3Prepare evidence before you are asked for it.
From requirement to evidence.
Regulation Layer flags obligations whose breach carries criminal exposure.
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