Remediation: Purpose, Scope, and its Interplay with Sanction

On October 5, 2026, the Autorité des marchés financiers (equivalent of the US Securities and Exchange Commission’s Division of Enforcement) will host the 19th Colloquium of its Enforcement Committee. This event brings together professionals from the financial markets, the legal sector, and academics. Our partner Hubert de Vauplane will participate in the second roundtable, focused on remediation.

Long regarded as a purely corrective response to regulatory breaches, remediation now plays an increasingly significant role in enforcement proceedings conducted by financial regulators. Beyond restoring compliance, it raises important questions as to how measures implemented by firms—such as strengthening internal controls, enhancing governance, improving procedures, or cooperating with the regulator—may be taken into account when assessing a case.

This panel will provide valuable insights into the role of remediation in regulatory risk management strategies and its growing importance in the evolving framework of financial enforcement and sanctions.