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Deciphering SEC Enforcement and Its Impact on e-Discovery

By Virginia P. Henschel

In October 2008, the Securities and Exchange Commission (SEC) for the first time made public its Enforcement Manual, the agency's internal reference guide for Enforcement Division staff in the investigation of potential violations of the federal securities laws. Law firms and corporations involved in matters before the SEC will find it a valuable resource to aid their understanding of SEC operations.

The 129-page Enforcement Manual addresses many topics, chief among them the management of Electronically Stored Information (ESI). It is critical that financial institutions and corporations facing or anticipating SEC investigation become familiar with the guidelines related to the preservation and production of electronic evidence, so they may respond accurately and in compliance with mandated timeframes. Readiness for an investigation under the new guidelines may call for both changes to business policies concerning collection, review and production of ESI, and adoption of new e-discovery tools to properly identify and manage relevant documents.

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