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

Delivery

Before this product can be purchased, the purchaser will be directed to electronically sign a terms and use agreement.  After signing that agreement, the purchaser will be redirected to the purchaser’s shopping cart to complete the purchase transaction.

If this product involves the purchase of a sample document on a la cart basis (not part of an annual compliance program subscription), the purchaser will have three ways to access this sample document: 1) Following payment, the purchaser will be redirected to a thank you page with a button to download the sample document; 2) The purchaser will receive an invoice email with a link to download the sample document; 3) If the purchaser has an account or elects to create one at the time of checkout, this sample document can be accessed from the “Downloads” section of purchaser’s My Account page. The purchaser will have 90 days to download sample document, which is limited to 3 downloads during this period.

If you experience any issues when making the purchase, please email delivery@ria-compliance-consultants.com

Disclosures

This sample document is merely an example for general reference and educational purposes.  RIA Compliance Consultants, Inc. is providing this sample document to the purchaser on an “as is” basis with no warranty or guaranty whatsoever.

This sample document should be considered a starting point, and purchaser should not treat this sample document as a final document ready for use.  The sample document has not been customized to the purchaser’s business model, the specific investment advisory rules applicable to the purchaser’s investment adviser or the written supervisory procedures and code of ethics of purchaser’s investment adviser.

This sample document may not be applicable or appropriate for every investment adviser. The purchaser should not consider a sample document purchased from our online store as an exhaustive, comprehensive or definitive list of the items necessary to meet the purchaser’s obligations under the applicable investment adviser laws and rules.

This sample document is not intended to detect or prevent fraud, selling away, Ponzi schemes, undisclosed outside business activities, inaccurate or false fee calculations, theft, misappropriation or unlawful conversion of client funds.

Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued.  RIA Compliance Consultants, Inc. will not be providing any subsequent updates of this sample documents to the purchaser.  Likewise, RIA Compliance Consultants, Inc. will not be monitoring and reporting to the purchaser any issues related to the use of this sample document.

Since this sample document may not reflect the specific investment advisory requirements of the purchaser’s securities regulator, the purchaser should check with the securities regulator(s) with jurisdiction over its investment adviser or review any applicable rules before using this document.

This sample document is not a substitute for retaining a compliance professional to advise and assist the purchaser regarding its investment adviser’s compliance program. Unless otherwise agreed to in writing, the purchaser understands that the purchaser has not engaged RIA Compliance Consultants, Inc. in a consulting relationship by merely purchasing or utilizing a sample form. Additionally, the purchaser understand that unless otherwise agreed to in writing, RIA Compliance Consultants, Inc. is not responsible for customizing this sample document, updating the sample document, preparing the purchaser’s written supervisory procedures or code of ethics, or notifying the purchaser of changes to the investment adviser laws and rules.

Purchaser is not authorized to re-sell this sample document nor license the use of this sample document to a third-party.

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