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Regulation and Compliance > Litigation

Keeping Them Privileged

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During a regulatory examination or a client litigation/arbitration proceeding, be sure not to provide e-mails to or from your legal counsel. These e-mails, together with all other correspondence and verbal communications and advice to/from counsel are “privileged,” and not subject to turnover, disclosure, or production during a regulatory proceeding, including a compliance examination, or a client lawsuit or arbitration proceeding. Correspondence, compliance reviews, and verbal communications between an advisory firm and a non-law firm provider are not privileged.