Investigations: Responding to a Securities Regulator's Request for Information and Documents Checklist | Practical Law

Investigations: Responding to a Securities Regulator's Request for Information and Documents Checklist | Practical Law

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Investigations: Responding to a Securities Regulator's Request for Information and Documents Checklist

by Practical Law Litigation
MaintainedUSA (National/Federal)
A Checklist of key issues counsel should consider when responding to a securities regulator's request for information and documents. The Checklist outlines best practices for gathering, reviewing, and producing documents and information responsive to the request and suggests strategies for communicating with the regulator.