Publications
Avoiding the Pitfalls of Responding to Subpoenas
Published by ABA Bank Compliance in July/August 2005.
Author(s): Benjamin B. Klubes.
The proper handling of grand jury subpoenas and other document requests--including subpoenas from litigants in civil matters and federal, state, and local administrative subpoenas--is increasingly important for financial institutions not only to ensure compliance with legal obligations, but also as a means of minimizing the risk of civil and criminal penalties and reputational damage. The authors discuss recent federal investigations and illuminate best practices the handling of grand jury subpoenas in order to avoid government or civil action.
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In-depth review of news & developments in the financial services industry.
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A full listing of national & state bank regulatory agencies & industry groups.