Regulatory Investigation Response Plan Prompt
Prompt
Our [PASTE: client name]] has been subpoenaed by [PASTE: regulatory agency]] and needs an immediate response strategy. Build a regulatory investigation response plan with clear protocols. Include: (1) Investigation overview – what's the agency investigating? What's their authority and typical timeline? (2) Document preservation – what documents are relevant? Privilege review protocols? (3) Privilege & strategy – are there attorney-client or work product privilege arguments? How do you protect sensitive materials? (4) Response timeline – when are materials due? Can you request extensions? Phasing of document production? (5) Executive interviews – which executives must be available? Interview prep and media training? (6) Negotiation strategy – cooperate fully, assert privilege, or negotiate? What's your engagement approach with the agency? Provide a response timeline, document review protocol, interview prep guides, and negotiation talking points. Coordinate with counsel throughout.
Why it works
Regulatory investigations are high-stakes. A disciplined response protects the company and limits exposure.
Watch out for
Missteps in early responses can trigger worse outcomes. Involve experienced regulatory counsel early and be conservative with initial responses.
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