Corporate Monitoring Services

Forensic & Litigation Consulting

August 10, 2016

Federal prosecutors and SEC staff often require appointment of a corporate monitor or independent compliance consultant to verify a company’s compliance with the terms of a settlement. The appointment of a monitor enables the government to conditionally suspend a prosecution or enforcement action while a company works to implement agreed business and compliance reforms. FTI Consulting has a wealth of experience and resources to serve as independent monitor or compliance consultant across all industries and professions.

Introduction 
The Department of Justice (DOJ) often requires companies to retain an independent monitor when settling a threatened prosecution. The company enters into a deferred prosecution agreement (DPA) or non-prosecution agreement (NPA) in which it agrees, among other things, to undertake a number of compliance and operational reforms. The monitor typically supervises the implementation and tests the effectiveness of these reforms, recommends improvements to the company, and submits periodic reports to the government and the company. The SEC has also used monitors to verify compliance with settlements of civil enforcement actions.


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