1. 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

2. 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.

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

4. Evaluate Subpoena

5. 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?

6. Contact Counsel

7. 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

8. 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

9. Plan Document Search

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

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

12. Gather Production

13. 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?

14. Review and Release

15. 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

16. Standardize Process
Create Data Maps
Communicate with Counsel

18. 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