Author Archives: Yan (Tricia) Sun

Regulator’s Use of Corporate Monitors to Remediate Financial Misconduct 

By | June 8, 2022

Regulators such as the Securities and Exchange Commission (SEC) and Department of Justice (DOJ) are allowed to seek any remedy that is necessary to protect investors following violations of securities law. One remedy increasingly being used is the requirement that violating firms hire a corporate monitor at their own expense, who is charged with supervising… Read More »