Tag Archives: attorney-client privilege

Maintaining Attorney-Client Privilege During Investigations in the Financial Services Industry

In the financial services industry, investigations by the government or self-regulatory organizations are commonplace, and because they inevitably involve employee conduct (or misconduct), there is frequently an internal employment-related investigatory component. With potential financial liability and reputational harm ever-present, the strength of a company’s investigatory process is critical.

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Protecting the Attorney-Client Privilege While Using Third-Party Consultants

There can be no question that business and legal transactions have become increasingly multi-disciplinary and complex. Business executives and their legal counsel frequently seek guidance from a variety of external consultants, including outside accountants, financial advisors, executive benefits consultants, human resources specialists, insurance brokers, executive recruiters, and public relations advisors (especially in crisis communication situations). Can a company rely on the attorney-client privilege to protect the confidential nature of communications with these external consultants, or will the use of an external consultant constitute a waiver of privilege?

The attorney-client privilege protects communications between a client and counsel that were intended to be confidential and were kept confidential, where the communications were made to obtain or provide legal advice. In some circumstances, the attorney-client privilege may extend to non-lawyers consulted by internal corporate counsel and external counsel at law firms if the communications were made in confidence for the purpose of facilitating the attorney providing legal advice.

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Some communications between insurance companies and counsel for insureds are now privileged in Ohio

Many employers today rely on employment practices liability insurance to cover potential employment claims and risks. As a result, insurance policies and companies that provide them hold an important place in many employment-related lawsuits, and rightfully so.

Historically, insurance companies, insureds and counsel have communicated carefully about potential claims, litigation strategies, and other confidential subjects because it was not clear whether the attorney-client privilege protected communication with the insurance companies.  Instead, the privilege arguably applied only to communications between the attorney and the insured/client.

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