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 global investment bank, 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).

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Jonny Frank StoneTurn

Jonny Frank

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

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