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Past Event
9 January 2018


  • Alex C. Lakatos
    T +1 202 263 3312

Attorney-Client Privilege for Financial Institutions in Internal Investigations, Audits and Bank Regulatory Exams

Banks and financial institutions generally protect the confidentiality of corporate information when providing documents to independent auditors or non-bank government regulators. Counsel must be cognizant of the limits on attorney-client and work product protection, particularly with respect to the selective waiver doctrine and communications involving a company and its consultants, board members and others.

Banks and financial institutions enjoy a unique privilege with respect to confidential information shared with bank regulators, including the CFPB, for supervisory or regulatory purposes. A federal statute allows financial institutions to provide privileged materials demanded by regulators without waiving the privilege in subsequent litigation.

In banking, parallel private or civil litigation is often associated with regulatory investigations and enforcement actions. So, counsel must understand the applicability and scope of privileges, statutory protections against waiver, and how to minimize the risk of unwanted loss of confidentiality.

Listen as our authoritative panel of financial institution regulatory attorneys explains key aspects of the attorney-client privilege as it applies during bank examinations and audits. The panel will discuss the scope of the privilege, who may invoke the privilege, responding to government requests for privileged information, and communications between a financial institution and its counsel.

For more information, please visit the event website.

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