Responding to a law enforcement investigation

Respond quickly and completely to all requests. If the request is overly broad or intrusive, you can seek to narrow the request. First ensure senior management is informed (include legal) and establish the point person to respond. If the enquiry is aimed at the institution, not a customer, the board of directors should be informed. Check all requests for any risk to the institution. Do not provide information to anyone who may be implicated in the proceedings.

The institution should conduct an enquiry of its own to establish the facts, determine the institution’s exposure, and what steps may need to be taken.

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