The Guide to Monitorships - Edition 3

Since WorldCom, the United States Department of Justice and other agencies have imposed more than 80 monitorships on a variety of companies, including some of the world’s best-known names. The terms of these monitorships and the industries in which they have been used vary widely. Yet many of the legal issues they raise are the same. To date, there has been no in-depth work that examines them.

GIR’s Guide to Monitorships fills that gap. Written by contributors with first-hand experience of working with or as monitors, it discusses all the key issues, from every stakeholder’s perspective, making it an invaluable resource for anyone interested in understanding or practising in the area.

Contents:

Preface
Anthony S Barkow, Neil M Barofsky and Thomas J Perrelli

Introduction
Anthony S Barkow and Michael W Ross

Part I: An Overview of Monitorships

• Changing Corporate Culture
  Neil M Barofsky, Matthew D Cipolla and Erin R Schrantz
• The Life Cycle of a Monitorship
  Thomas J Perrelli
• When do Enforcement Agencies Decide to Appoint a Monitor?
  Bart M Schwartz
• Succeeding across a Monitor’s Audiences
  Pamela Davis, Suzanne Jaffe Bloom and Mariana Pendás Fernández

Part II: Perspectives of Monitorships

• An Academic Perspective
  Mihailis E Diamantis
• An In-House Perspective
  Jeffrey A Taylor
• A Forensic Perspective: Testing and Verification of the Assertions Made Within Settlement Agreements
  Loren Friedman, Thomas Cooper and Nicole Sliger

Part III: International Monitorships and Related Issues

• US-Ordered Cross-Border Monitorships
  Gil M Soffer and Johnjerica Hodge
• The Foreign Corrupt Practices Act
  Nicholas S Goldin and Joshua A Levine
• Monitorships: The Swiss Perspective
  Simone Nadelhofer, Daniel Lucien Bühr, Katja Böttcher
  and Jonathon E Boroski
• United Kingdom-Ordered Monitorships
  Judith Seddon and Andris Ivanovs
  
• Monitorships in East Asia
  Jason J Kang, Wade Weems, Daniel S Lee and Scott Hulsey
  

Part IV: Topical Analyses

• The Role of Forensic Firms in Monitorships
  Frances McLeod, Jenna Voss, Samantha Hsu and Anushka Ram
• The Securities and Exchange Commission
  Rachel Wolkinson and Blair Rinne
• Healthcare Industry Monitorships
  David W Ogden, Ronald C Machen, Stephen A Jonas, Ericka S Aiken
  and James D Barton
• Financial Services Industry Monitorships
  Günter Degitz and Rich Kando
• Consumer-Relief Fund Monitorships
  Michael J Bresnick
• Environmental and Energy Industry Monitorships
  Mark Filip, Brigham Cannon and Nicolas Thompson
• Union Monitors
  Glen G McGorty and Lisa Umans
• Sanctions Monitorships
  Ellen S Zimiles, Patrick J McArdle, Steven McCarthy and Jeremy Robb
• The Pharmaceutical Industry and the Controlled Substances
  Act – A Distinct Breed of Monitorship
  Jodi Avergun, Todd Blanche and Christian Larson
  
• Multilateral Development Bank Monitorships
  Kevin T Abikoff, Laura N Perkins, Michael A DeBernardis
  and Christine Kang
  

Part V: Key Issues

• Privilege and Confidentiality
  Daniel W Levy and Doreen Klein
• Concurrent Monitorships
  Roscoe C Howard, Jr, Tabitha Meier, Nicole Sliger and Pei Li Wong
• Judicial Scrutiny of DPAs, NPAs and Monitorships
  John Gleeson
  

Conclusion
Anthony S Barkow, Neil M Barofsky and Thomas J Perrelli