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Attorney-Client Privilege (8)
Your search for Attorney-Client Privilege returned 8 results.
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5/16/2019 | Content area: Investment Adviser
A federal appeals court May 13 dismissed an appeal by adviser Louis Navellier in an attempt to have his compliance consultant’s records deemed to be p...
7/07/2016 | Content area: Investment Adviser
This is a guide to SEC regulation of written and shared with permission of Robert Plaze, a partner with Stroock & Stroock & Lavan in Washington, D.C. ...
1/07/2016 | Content area: Investment Adviser
There’s nothing in the Advisers Act that would prohibit one from serving both as her firm’s general counsel and CCO. But wearing the two hats could sp...
9/24/2014 | Content area: Investment Adviser
This document, shared with permission of author David Marshall of Katz Marshall & Banks in Washington, D.C., is designed to explain how the SEC's whis...
8/21/2014 | Content area: Investment Adviser
Consultants performing mock exams are dialed in to the SEC’s most recent document request letters and the regulator’s specific records sought (IA Watc...
7/14/2014 | Content area: Investment Adviser
If your firm hands the responsibility of conducting internal compliance investigations to a general counsel or other in-house lawyer, you may well hav...
7/23/2012 | Content area: Investment Adviser
One misstep with protected documents carries the risk of blowing away a claim of attorney-client privilege and revealing damaging documents you'd rath...
2/16/2009 | Content area: Investment Adviser
Firms could try to use attorney-client privilege to avoid disclosure of mock exams or compliance audits. The maneuver has to be legitimate, though, an...


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