Investigation
The power to compel documents and testimony to determine whether a violation occurred.
Overview
Investigative powers include subpoenas, information requests, interviews and inspections. An investigation can precede enforcement action, settlement or referral for prosecution.
It connects most directly to Enforcement authority and Enforcement action.
Check the official sources below for legal scope, applicable dates and exceptions. This entry is an explanatory reference, not legal advice.
Why it matters
How quickly and completely a firm can produce evidence often shapes the outcome.
Who it affects
Any firm under regulatory scrutiny.
Connections
The terms most closely tied to Investigation. 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.
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