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Financial Industry Regulatory Investigations Toolkit
Practical Law Toolkit w-004-9420 (Approx. 7 pages)
Financial Industry Regulatory Investigations Toolkit
by Practical Law Litigation
| Maintained • USA (National/Federal) |
A collection of resources to help counsel for companies operating in the financial industry effectively manage regulatory investigations. The resources address every aspect of a regulatory investigation, including communication with regulators, responding to document and information requests, and negotiating settlements.
In today's environment, financial industry actors must consider an increasingly complex web of factors when being investigated by regulators. Handling a regulatory investigation effectively can limit the company's potential exposure, control any damage, and minimize the effects on the company's business.
This Toolkit contains resources that help counsel effectively handle multiple aspects of regulatory investigations, including:
- Assessing risks and exposure.
- Responding to regulators' requests for information and documents.
- Properly collecting, reviewing, and producing information.
- Preserving attorney-client privilege and work product doctrine protections.
- Communicating with regulators.
- Negotiating a favorable settlement.