Home      Login


Hiring and Using Compliance Consultants  


Author:  Brian L. Rubin.; Rebekah R. Runyon.


Source: Volume 52, Number 07, April 1 2019 , pp.77-82(6)




Review of Securities & Commodities Regulation

next article > |return to table of contents

Abstract: 

In the first of two recent actions involving compliance consultants, the SEC was successful in enforcing a subpoena for communications between a defendant and its compliance consultant. In the second action, the Commission rejected a firm’s defense based on its reliance on its compliance consultant’s advice. The authors discuss these cases and suggest takeaways for counsel to improve their chances of achieving more favorable results.

Keywords: SEC v. Navellier & Associates, Inc.; Attorney-Client Privilege; Work Product Doctrine; Motions to Quash

Affiliations:  1: Eversheds Sutherland; 2: Eversheds Sutherland.

Subscribers click here to open full text in PDF.
Non-subscribers click here to purchase this article. $59

next article > |return to table of contents