Securities Enforcement: The Filip Memorandum and Beyond

December 9, 2008


  • An overview of the revised principles
  • The effect on “cooperation” when corporations pay for employees’ counsel fees
  • DOJ requests for waiver of attorney-client or work-product privilege as a condition of leniency
  • The use of privileged material by government agencies and private regulatory bodies, e.g. the SEC, CFTC, FINRA, as well as by the states
  • The interplay between state prosecutions and cooperation
  • The prospects of the Attorney-Client Privilege Protection Act (ACPPA) in Congress


Ernest E. Badway