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 brings over 40 years of public and private sector and law and business school teaching experience in forensic investigations, compliance, and risk management. He helps organizations and counsel […]

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