SEC Exam – Privilege Log

$50.00

This SEC Exam – Privilege Log 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.

Included with Bronze, Silver, Gold & Platinum Packages.

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Description

This SEC Exam – Privilege Log 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.

Prior to producing a document involving communication with an investment adviser’s attorney or asserting attorney-client privilege (or a similar legal privilege), an investment adviser firm should consult with its legal counsel about whether a certain communication/document is eligible for attorney-client privilege (or similar legal privilege), whether it is advisable to assert such privilege and refuse to produce a requested document and the implications of such refusal and how to prepare a privilege log.  An investment adviser firm should confirm with the securities regulator about any required fields in the privilege log.

RIA Compliance Consultants, Inc. is not a law firm, and any communication between RIA Compliance Consultants, Inc. and an investment adviser firm is not protected by attorney-client privilege.

Included with Bronze, Silver, Gold & Platinum Packages. Initially posted in May 2021.

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

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