Many government agencies are increasingly using monitors―or independent third parties who assess and oversee a company’s compliance efforts―as a way of ensuring that compliance programs are adequate to guard against future misconduct.  The U.S. Securities and Exchange Commission (“SEC”) often requires companies, broker / dealers, investment advisers and others to engage a monitor to resolve an enforcement action.

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Jonny Frank, a StoneTurn Partner who currently serves as a monitor to a Top 10 global investment bank and a Top Three automaker, outlines what companies can expect when working with an SEC-imposed monitor.

Read the full chapter from the SEC Compliance and Enforcement Answer Book (2017 Edition).

Learn more about the SEC Compliance and Enforcement Answer Book (2017 Edition).

Meet the Authors

About the Authors

Jonny Frank

Jonny Frank

Jonny Frank, a Partner with StoneTurn, brings nearly 40 years of public, private and education sector experience in forensic investigations, compliance and risk management. He joined StoneTurn in 2011 from […]

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