Meeting DOJ and SEC Post-Settlement Obligations: A Practical Guide


No Longer Just a Matter of Paying the Fine and Moving On.

Corporate settlement agreements used to be straightforward—pay the penalty and move on. Now, these resolutions rival complex business transactions, including months of negotiations and multi-year post-resolution obligations. Satisfying post-settlement commitments is a business imperative, not just a legal obligation. Meeting, if not exceeding obligations, helps restore brand value and improves employee and investor stakeholder confidence.

Post-Settlement Guide -

StoneTurn developed this Post-Settlement Guide to help companies and their external counsel prepare for and manage post-resolution obligations. Our suggestions draw from StoneTurn’s cross-disciplinary and industry expertise; past experience as regulators, auditors and prosecutors; our team’s many risks and controls engagements; and years of experience serving as government-imposed and voluntary compliance monitors and consultants.

The Post-Settlement Guide includes four sections: 1) Commitments and Breaches; 2) Certifying Compliance Program Effectiveness; 3) Duty to Report Misconduct Allegations; and 4) Making the Best of a Government Monitor.

Read the full guide below.

Please see full publication below for more information.

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