New Sample Form – SEC Exam – Privilege Log

May 18, 2021

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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.RIA - Sample Form

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:

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