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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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.
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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.
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