RIA Compliance Consultants recently created a new sample form, SEC Exam – Privilege Log.
This is a sample investment adviser form which is an example of a privilege log that a securities regulator may request if an investment adviser firm asserts a legal privilege (such as attorney-client privilege) from producing a responsive document requested during an examination by a securities regulator.
This sample form is included with Bronze, Silver, Gold and Platinum Annual Compliance Program Packages. It can be downloaded a la carte for $50 through the following link: https://www.ria-compliance-consultants.com/product/sec-exam-privilege-log/
Related Forms & Webinars
SEC Exam – Best Practices Checklist
SEC Exam – Log of Requested Docs & Info
SEC Exam – Investment Adviser’s Confirmation of New Deadline for Response
SEC Exam – Response to Deficiency or Findings Letter from Securities Regulator
SEC Exam – Sample Letters Requesting Confidential Treatment under FOIA
Posted by RCC
Labels: Examination, SEC