Course Description

Financial institutions, fintechs, and advisory professionals increasingly face legal demands for information as the IRS and Department of Justice expand their enforcement reach. This session prepares professionals to effectively respond to IRS civil summonses and criminal grand jury subpoenas—two powerful tools used in tax and financial crime investigations.

The course explains the differences in scope, authority, and risk between these mechanisms and provides actionable guidance on document production, protecting privileged communications, and avoiding inadvertent waiver. Attendees will also learn when and how to escalate matters to legal counsel, and the potential consequences of cooperating too quickly—or not at all.

Agenda:

• Differences between IRS civil summonses and DOJ grand jury subpoenas

• Key risks and responsibilities when responding to legal demands

• How to protect privileged communications and avoid waiver

• Practical steps for collecting and producing documents appropriately

• When to escalate to legal counsel and how to manage government interaction