"Please Comply"

We are situated in offices that are run by and are the responsibility of the branch manager. We have one rep that is not in our office, but has ignored our request to change their status to the new office. Legally and by policy we are still responsible for everything this rep does, including reprimands and fines that this rep may cause. Should we report this rep to the company and/or regulatory agencies, thereby possibly imposing a fine on this rep and possibly on the branch manager as well? By the way, this rep is a compliance nightmare.

Branch Office Person

Dear Branch Office Person,

Yes. By all means report the non-compliant representative. The company is at risk by his/her actions and needs to know about the situation so that they can take appropriate measures.

Without knowing what industry you are in and what the reporting requirements are I'm unable to say whether you should report this matter to the regulatory authorities. If you have an obligation to do so under the industry code of conduct or regulations, then that answers the question. It may be, however, that reporting the matter to your company is the extent of your obligation. If you need clarity on this either check with your firm's compliance officer, or with the industry or professional association, or with the regulatory authority.

But get on it.

Dr. John

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