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.

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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.

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