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Case File
d-37403House OversightOther

Generic guidance on corporate monitorships involving DOJ and SEC

The passage only outlines standard procedures for corporate compliance monitoring when both the DOJ and SEC require a monitor. It contains no specific names, transactions, dates, or novel allegations Monitors may be shared between DOJ and SEC requirements. Effective monitoring depends on company cooperation. Compliance consultants recommend improvements that must be adopted.

Date
November 11, 2025
Source
House Oversight
Reference
House Oversight #022574
Pages
1
Persons
0
Integrity
No Hash Available

Summary

The passage only outlines standard procedures for corporate compliance monitoring when both the DOJ and SEC require a monitor. It contains no specific names, transactions, dates, or novel allegations Monitors may be shared between DOJ and SEC requirements. Effective monitoring depends on company cooperation. Compliance consultants recommend improvements that must be adopted.

Tags

corporate-compliancedojmonitoringsechouse-oversightfcpa
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Browse House Oversight Committee ReleasesHouse Oversight #022574

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
In civil cases, a company may similarly be required to retain an independent compliance consultant or moni- tor to provide an independent, third-party review of the company’s internal controls. The consultant recommends improvements, to the extent necessary, which the company must adopt. When both DOJ and SEC require a com- pany to retain a monitor, the two agencies have been able to coordinate their requirements so that the company can retain one monitor to fulfill both sets of requirements. The most successful monitoring relationships are those in which the company embraces the monitor or con- sultant. If the company takes the recommendations and suggestions seriously and uses the monitoring period as a time to find and fix any outstanding compliance issues, the company can emerge from the monitorship with a stronger, long-lasting compliance program. FCPA Penalties, Sanctions, and Remedies

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