Compliance monitor

A compliance monitor is an independent party installed to oversee a firm's remediation under a settlement, reporting to the regulator or prosecutor.

compliance and practice · updated 2026-11-06

See also

• Deferred prosecution agreement — A deferred prosecution agreement suspends criminal charges against a firm in exchange for admissions, penalties, reforms and a per…
• Control failure — A control failure is a breakdown in the systems meant to prevent or detect misconduct. Many large penalties are imposed for contro…

Terms that refer here

Deferred prosecution agreement

Back to the full glossary — 282 defined terms.