05 Nov 2024
Responding to Subpoenas for Financial Services Companies
Does your institution have a procedure in place to respond to subpoenas? It’s important for financial service companies to have proper procedures in place to adequately manage the intake, gathering of documents or other data, and responding to subpoenas. Explore this content for a high-level overview of subpoenas and to review procedures for responding timely and appropriately.
Related Content
- Responding to Discovery Subpoenas (Federal)
See the State Law Comparison Tool to compare state laws on responding to discovery subpoenas in a federal action.
- Financial Privacy Regulation Compliance Checklist
Access this checklist to understand the disclosure requirements necessary to comply with requests from law enforcement or other authorized subpoenas.
- Records Destruction and Data Retention Policy
Use this policy template as a guide to comply with applicable laws and regulations governing the use, retention, and destruction of confidential customer information.
- Responding to Consumer Financial Protection Bureau (CFPB) Civil Investigative Demands
Review this practice note for an overview of the civil investigative demands process of the CFPB. The note also outlines the roles and responsibilities of legal counsel and witnesses under federal laws and regulations.
Practical Guidance Updates
Featuring the latest updates from your Practical Guidance account.
- Trends & Insights provides the latest in news articles and insight documents on trending areas for financial service organizations.
- Discover New Practical Guidance Content and Resources
Review this informative guide featuring some of the recent content additions to Practical Guidance, designed to help you find the tools and insights you need to work more efficiently and effectively. - Financial Services Regulation Trackers provides up to date information on legislation and key administrative proceedings from federal, state and local banking authorities.
- Document alerts allow you to stay current on legal developments that affect your practice. Find out how to set up your document alerts.
- Explore the Chevron Reversal Impact Resource Kit for analysis related to the Supreme Court’s decision to overturn four decades of deference to federal agency interpretations of ambiguous statutes.
- State Law Comparison Tool—Financial Regulation Topic
Access this tool to compare key state laws and regulations for financial institutions doing business in the state. - For Practical Guidance content on important recent trends, review these easy-to-use Resource Kits on a variety of emerging topics:
- The Fall 2024 Edition of The Practical Guidance Journal features guidance on the use of AI in employment decisions, AI considerations in acquisition agreements, Chevron deference reversal challenges in FDA rulemaking, 50 years of ERISA pension protection, plus obligations and risks related to the provision of anti-overdose medication in the workplace.
- Browse the Practical Guidance Author Center to see the 2000+ leading attorney authors contributing to our 26 practice areas. Interested in becoming a Practical Guidance author? Click here for details. Practical Guidance is committed to amplifying diverse voices of attorneys across all differences, including gender and race.
- Legal Developments provide the latest updates and analyses of emerging topics impacting your practice area. Visit the Legal Developments page to see the latest topics, which also include breaking legal news and related Practical Guidance content.
- Listen Up! The Practical Guidance and Law360 Podcasts Resource Kit features interviews with industry-leading attorneys on cutting edge issues in the law: Generative AI, NFTs, Cannabis, and more.
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