Subject to Inquiry

Subject to Inquiry

THE LATEST ON GOVERNMENT INQUIRIES AND ENFORCEMENT ACTIONS

Government Investigations and White Collar Litigation Group

Steven W. Peretz

Photo of Steven W. Peretz Steve represents financial services clients in complex securities matters, focusing on regulatory investigations and enforcement actions, internal investigations, and litigation.

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Beware What You Share: Privilege Waiver Risks in Investigations

By Steven W. Peretz, William E. Goydan and McGuireWoods LLP on Enforcement and Prosecution Policy and Trends, Financial Institution Regulation
In responding to regulatory and government investigations, firms are often faced with the question of how to balance the desire to cooperate with the need to preserve privilege over an internal investigation.  Financial institutions face this question additionally in their reporting requirements to regulators, including Form U-5 filings and Suspicious Activity Reports.  Two recent decisions… Continue Reading

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