What main purpose does a subpoena serve in a compliance investigation?

A subpoena primarily serves the purpose of compelling individuals to provide testimony or produce documents relevant to an investigation. This legal tool is crucial in compliance investigations, particularly when there is a need for information that may not be voluntarily shared. By ensuring that individuals testify under oath, subpoenas help gather critical evidence that can illuminate potential compliance issues or unlawful activities. The information obtained through subpoenas plays a pivotal role in establishing the facts of a case, allowing for informed decision-making in compliance management.

In the context of compliance investigations, the other options do not accurately reflect the main purpose of a subpoena. Limiting the duration of an investigation does not directly relate to the function of a subpoena. Establishing compliance policies or outlining investigation procedures are separate processes that focus on the framework and guidelines for compliance rather than on obtaining information during an investigation. Therefore, understanding the role of subpoenas in securing testimonies and documents is essential for effective compliance oversight and enforcement.