Independent Monitoring & Independent Consulting

Looking Forward

Regulators will continue to require independent monitors and consultants as part of their settlements where the authority requires assurance that the settling party will implement remedial measures and review operational effectiveness and compliance. While DOJ emphasis on monitorships leveled under the Trump Administration, alternative regulatory and financial authorities, and state level agencies have increased their use of independent monitors to address corporate and institutional deficiencies. Further, the consideration of independent assessment of remediation measures during internal reviews of potential regulatory or procedural filings adds significant value to proposed settlements and investigative resolutions.