Monitorships

After the resolution of a criminal proceeding or a significant enforcement action, companies may find themselves subject to a compliance program which will be overseen by a monitor appointed by the court (CAM) or the relevant regulatory agency. Companies seek a monitor who appreciates the independent role of the position and understands the complexities of business operations. Baker Botts lawyers bring this pragmatic approach.

Baker Botts lawyers have served as monitors on several high-profile matters and we have also helped clients navigate the selection of monitor candidates and build relationships with monitors. In these capacities, we have worked with a wide-range of entities including small privately held companies and large multi-national corporations who operate in the financial, manufacturing, pharmaceutical, and travel industries.

Our experience includes monitorships stemming from investigations and enforcement actions by the Department of Justice, the Securities and Exchange Commission, the Federal Trade Commission, the Coast Guard and the Environmental Protection Agency. We recognize that a monitorship should lead to a company with enhanced compliance performance that is integrated into business operations and corporate core values.

Organizations seek monitors who have a keen understanding of the complexities of the business in which a company operates. This understanding can be facilitated through collaboration with a network of partners with technical expertise in forensic accounting and other key technical areas that present risk to the company.

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