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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

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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.

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