Extract from Meg McLaughlin’s article “Slay the Regulatory Investigation in 7 Steps”
Halloween is just a few weeks away, so in honor of the spookiness of the season, we thought we’d take a look at something that strikes dread into the hearts of corporate ediscovery professionals: Regulatory Investigations. (cue ghost noise)
Corporations are already subject to oversight by a veritable alphabet soup of regulators, from the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) to the Equal Employment Opportunity Commission (EEOC) and state attorneys general.
On top of that, according to Gartner, “the COVID-19 pandemic has thrown an already chaotic regulatory landscape into even greater disarray.” So, how to keep the regulatory wolves at bay? Build a standard response plan, and iterate each time you go through the process.