Remediation

Remediation is the corrective action a firm takes after a violation — dismissals, systems changes, new controls. Regulators weigh it heavily, and settlement documents usually describe it in some detail.

compliance and practice · updated 2026-09-08

See also

• Cooperation credit — Cooperation credit is the reduction in penalty a firm receives for self-reporting, cooperating and remediating. It explains a good…
• Control failure — A control failure is a breakdown in the systems meant to prevent or detect misconduct. Many large penalties are imposed for contro…

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