How To Respond To A Regulatory Investigation


Corporations are subject to oversight by a veritable alphabet soup of regulators, from the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) to the Equal Employment Opportunity Commission (EEOC) and state attorneys general.

Any of these regulatory authorities could, at any time, suspect that someone at your organization has violated a regulation or committed wrongdoing. Initial inquiries range from an informal phone call seeking limited information to a full-blown regulatory investigation, with subpoenas demanding answers.

When you get that phone call or that formal demand, you need to be prepared to respond quickly and defensibly. Fortunately, if you’re prepared to respond to the threat of litigation through a robust ediscovery practice, you’re well-positioned to respond to a regulatory inquiry.

In this guide to regulatory response we'll discuss:

  • Goals in Responding to a Regulatory Inquiry
  • The Mindset of Regulatory Response
  • Seven Steps to Begin a Successful Regulatory Response

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