TRACK:: General Compliance/Hot Topics | Tuesday, 1:15 – 2:15 PM

Compliance from the Independent Monitor’s Perspective

• Independent Monitoring is being used with greater frequency as part of CIA, Deferred or Non-prosecution Agreements
  
• Independent Monitors oversee compliance activities to ensure improvements, transparency, cooperation and effective internal controls
  
• Independent Monitors test the adequacy of Compliance Programs including training, reporting, quality improvements, Board and company activities, documentation and quality controls

Vincent L. DiCianni, Affiliated Monitors, Inc., Boston, MA

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