Corporate Counsel and First Vice President Tricks and Traps of Subpoena Compliance Marcia N. Keeler Corporate Counsel and First Vice President MB Financial Bank, N.A. April 20, 2011

Disclaimer This presentation does not reflect the views or opinions of the organization represented by the presenter. This presentation has not been approved, disapproved, or otherwise acted upon by any regulatory or legal body and is provided for your education and insight. This presentation should not be construed as professional advice, nor does it constitute a recommendation to achieve compliance with any applicable laws or regulations. If you wish to pursue compliance initiatives based upon this presentation, you must review and analyze the applicable laws and regulations and seek professional advice, as appropriate.

Contact Counsel Evaluate Subpoena Plan Document Search Gather Production Review and Release

Evaluate Subpoena

EVALUATE SUBPOENA Who are the parties? Jurisdiction – where is the litigation taking place? Criminal vs. Civil court Production request analysis Customer notification requirement? Enforcement date – reasonable timeframe? Issue a Legal Hold notice for documents?

Contact Counsel

Opposing Counsel - What is the Goal? CONTACT COUNSEL Opposing Counsel - What is the Goal? Subpoena evaluation issues Narrow subpoena focus Discuss system constraints Negotiate compliance date Stipulate to documents only Negotiate type of production Billing rates for time and materials

Your Counsel – Last Line of Defense CONTACT COUNSEL Your Counsel – Last Line of Defense Narrow subpoena focus Negotiate records access/cost shifting Extend compliance date to court standards Negotiate affidavit language Court appearance for Rules To Show Cause and Motions for Sanctions

Plan Document Search

PLAN DOCUMENT SEARCH PLAN DOCUMENT SEARCH Electronic Hard Copy Archived Legacy Systems

PLAN DOCUMENT SEARCH DATA MAP Core System Account Detail Related Parties Closed Archive Reports Transactions DATA MAP

Gather Production

GATHER PRODUCTION Communication plans for retrieval and research requests Tailored checklists for researchers Subpoena logging and tracking mechanism Tickler system for internal and external deadlines Motions to Quash considerations Production expectations = reality?

Review and Release

REVIEW AND RELEASE Implement two levels of review Standard subpoenas Complex subpoenas Information redaction Correspondence templates Invoice preparation Follow up and file closure Retention requirements

Standardize Process Create Data Maps Communicate with Counsel

Corporate Counsel and First Vice President Tricks and Traps of Subpoena Compliance Marcia N. Keeler Corporate Counsel and First Vice President MB Financial Bank, N.A. April 20, 2011