Safeguarding Client Info and File Retention
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Transcript of Safeguarding Client Info and File Retention
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SafeguardingClientInformationandFileRetentionRequirements
MichaelDowneyDowneyLawGroupLLC
August2017
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SafeguardingClientInformation
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1/8/17, 9(45 PMChinese Nationals Charged With Hacking Firms to Steal M A Info | The American Lawyer
Page 1 of 2http://www.americanlawyer.com/printerfriendly/id=1202775530918
NOT FOR REPRINT
Click to Print or Select 'Print' in your browser menu to print this document.
Page printed from: The American Lawyer
Chinese Nationals Charged With HackingFirms to Steal M&A InfoMark Hamblett, The Am Law Daily
December 27, 2016
Three Chinese nationals face federal charges for allegedly hacking into two major U.S. law firms ina scheme to trade on information about imminent mergers and acquisitions.
U.S. Attorney Preet Bharara of the Southern District of New York announced Tuesday that IatHong, Bo Zheng and Hung Chin have been charged with infiltrating the servers of two law firms in2014 and 2015 and accessing nonpublic information about pending deals. According to Bharara'soffice, the information was used in trades that reaped roughly $4 million in illegal profits.
The indictment unsealed Tuesday does not name the law firms, which are referred to as Law Firm1 and Law Firm 2. According to the charges, Law Firm 1 advised Intel Corp. on its 2015 acquisitionof Altera Corp. for $16.7 billion and represented a company that was in deal talks with InterMuneInc., which sold to Roche AG in 2014 for $8.9 billion.
The second major law firm advised Pitney Bowes Inc. in the 2015 acquisition of New York-based e-commerce company Borderfree, the indictment states.
Based on those details the two firms appear to be Weil, Gotshal & Manges and Cravath, Swaine &Moore, firms where cyberbreaches previously were reported. Weil represented Intel in the Alterabuy and Cravath is identified in securities filings as Pitney Bowes lead deal counsel.
Representatives of both firms, reached Tuesday, declined to comment.
"This case of cyber meets securities fraud should serve as a wake-up call for law firms around theworld: you are and will be targets of cyber hacking, because you have information valuable towould-be criminals,” Bharara said.
In addition to infiltrating the two firms, Bharara said the defendants went after at least five other lawfirms between March and September 2015, trying to get unauthorized access to the firms' networksand servers on over 100,000 occasions.
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DUTYofConfidentiality
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Duty ofConfidentiality– Rule4-1.6
Alawyershallnotrevealinformationrelatingtotherepresentationofaclientunlesstheclientgivesinformedconsent,thedisclosureisimpliedlyauthorizedinordertocarryouttherepresentation,orthedisclosureispermittedbyRule4-1.6(b).
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DutyofConfidentiality– MissouriRule4-1.6
• Informationfromanysource
• Relatingtorepresentation
• Limiton"revelation"• Limiton"use"inRule
4-1.8
Client
Mediareports Opposingcounsel
Pleadings
Adverseparty
Thirdparty
Lawyer
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TheMythofPrivacy
"Therecanbenoreasonableexpectationofprivacyinatweetsentaroundtheworld."
Peoplev.Harris(N.Y.Crim.Court2012)
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Internetvs.Privacy:"HelpfulVenndiagram"
ByDavidHoffman,availableathttp://bit.ly/bqU5vU
TheInternet Privacy
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ProtectingInformationModel Rule1.6(c):"Alawyershallmakereasonableeffortstopreventtheinadvertentorunauthorizeddisclosureof,orunauthorizedaccessto,informationrelatingtotherepresentationofaclient."
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WhatAre"Reasonable"Protections?
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EvaluationofSafeguards• Factorstobeconsideredindeterminingthereasonableness
ofthelawyer’seffortsinclude,butarenotlimitedto,– thesensitivity oftheinformation– thelikelihoodofdisclosureifadditionalsafeguardsarenot
employed– thecost ofemployingadditionalsafeguards– thedifficulty ofimplementingthesafeguards (and)– theextenttowhichthesafeguardsadverselyaffectthelawyer’s
abilitytorepresentclients(e.g.,bymakingadeviceorimportantpieceofsoftwareexcessivelydifficulttouse)
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Rule1.6(c)– TwoMoreCaveats• Aclientmayrequirethelawyertoimplementspecialsecurity
measuresnotrequiredbythisRuleormaygiveinformedconsenttoforgosecuritymeasuresthatwouldotherwiseberequiredbythisRule.
• Whetheralawyermayberequiredtotakeadditionalstepstosafeguardaclient’sinformationinordertocomplywithotherlaw,suchasstateandfederallawsthatgoverndataprivacyorthatimposenotificationrequirementsuponthelossof,orunauthorizedaccessto,electronicinformation,isbeyondthescopeoftheseRules.
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WhereIstheData?
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The"Cloud"
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"DataFarms"
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TermsofServiceGoogleDocs(8/2017)
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SecureCommunications
• WhatsApp• Apple-AppleiMessagetexting(blue,notgreen)
• FaceTime
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BeatingSecurity
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InternetAccess
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PrivatePublic
26PKI
EmailEncryption
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“AlawyergenerallymaytransmitinformationrelatingtotherepresentationofaclientovertheInternet withoutviolatingtheModelRulesofProfessionalConductwherethelawyerhasundertakenreasonableeffortstopreventinadvertentorunauthorizedaccess…
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…However,alawyermayberequiredtotakespecialsecurityprecautionstoprotectagainsttheinadvertentorunauthorizeddisclosureofclientinformationwhenrequiredbyanagreementwiththeclientorbylaw,orwhenthenatureoftheinformation requiresahigherdegreeofsecurity.”
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SevenConsiderations1. Understandthethreat
2. Understandhowclientinformationistransmittedandstored
3. Understandandusereasonablesecuritymeasures
4. Determinehowclientinformationshouldbeprotected
5. Labelclientinformationconfidential
6. Trainaboutinformationsecurity
7. Conductduediligenceontechnology
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“Thus,theuseofunencryptedroutineemailgenerallyremainsanacceptable methodoflawyer-clientcommunication.However,cyber-threatsandtheproliferationofelectroniccommunicationsdeviceshavechangedthelandscapeanditisnotalwaysreasonabletorelyontheuseofunencryptedemail.”
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Attorney-ClientPRIVILEGE
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Attorney-ClientPrivilege
• Confidential• communications• betweenanattorneyandhis[orher]client• concerningtherepresentationoftheclient• areprotectedbytheattorney-clientprivilege.
Diehlv.FredWeber,Inc. (Mo.App.E.D.2010)
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DUTYofConfidentiality– Rule4-1.6
Client
Court Filings
Real Estate Records
Newspaper
Depositions
Pleadings
Opposing Party
Lawyer
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Attorney-ClientPrivilege
• Confidential• communications• betweenanattorneyandhis[orher]client• concerningtherepresentationoftheclient• areprotectedbytheattorney-clientprivilege.
Diehlv.FredWeber,Inc. (Mo.App.E.D.2010)
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Attorney-ClientPrivilege
Client Lawyer
Renditionof
LegalServices
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"Necessary"Agents– Kovel
Client Lawyer
Agent
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JointRepresentation
Client1 Client2
Lawyer
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DeBoldv.Case (8th Cir.BAP2005)
“Whentwoormorepersons,eachhavinganinterestinsomeproblem,jointlyconsultanattorney,theirconfidentialcommunicationswiththeattorney,thoughknowntoeachother,willofcoursebeprivilegedinacontroversyofeitherorbothoftheclientswiththeoutsideworld,thatis,withpartiesclaimingadverselytobothoreitherofthosewithintheoriginalcharmedcircle.”
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JointDefense/CommonInterestPrivilege
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Client1 Client2
Lawyer1 Lawyer2
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Attorney-ClientPrivilege
CommonInterest
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AdverseinBusinessTransaction
Seller
Buyer
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SharedInterestinEvaluatingLawsuit
Seller
Buyer
Plaintiff
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WorkProductProtection– MORule56.01(b)(3)
• SubjecttotheprovisionsofRule56.01(b)(4),apartymayobtaindiscoveryofdocumentsandtangiblethingsotherwisediscoverableunderRule56.01(b)(1)andpreparedinanticipationoflitigationorfortrialbyorforanotherpartyorbyorforthatotherparty'srepresentative,includinganattorney,consultant,surety,indemnitor,insurer,oragent,onlyuponashowingthatthepartyseekingdiscoveryhassubstantialneedofthematerialsinthepreparationofthecaseandthattheadversepartyisunablewithoutunduehardshiptoobtainthesubstantialequivalentofthematerialsbyothermeans.Inorderingdiscoveryofsuchmaterialswhentherequiredshowinghasbeenmade,thecourtshallprotectagainstdisclosureofthementalimpressions,conclusions,opinions,orlegaltheoriesofanattorneyorotherrepresentativeofapartyconcerningthelitigation.
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Rule56.01(b)(3)Parsed
§ [A]partymayobtaindiscoveryofdocumentsandtangiblethingsotherwisediscoverableunderRule56.01(b)(1)and
§ preparedinanticipationoflitigationorfortrial§ byorforanotherpartyorbyorforthatotherparty'srepresentative,
includinganattorney,consultant,surety,indemnitor,insurer,oragent,§ onlyuponashowing
– thatthepartyseekingdiscoveryhassubstantialneedofthematerialsinthepreparationofthecaseand
– thattheadversepartyisunablewithoutunduehardshiptoobtainthesubstantialequivalentofthematerialsbyothermeans.
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FRCPRule26(b)(3)(A)Parsed• DocumentsandTangibleThings.• Ordinarily,apartymaynotdiscover• documentsandtangiblethingsthat• arepreparedinanticipationoflitigationorfortrial• byorforanotherpartyoritsrepresentative(includingthe
otherparty'sattorney,consultant,surety,indemnitor,insurer,oragent)
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Work-ProductProtection
Alawyer'sinvolvementisnotrequired
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Attorney-ClientPrivilege
Work-ProductProtection
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OpinionWorkProduct– FullProtection
§ Inorderingdiscoveryof[workproduct]whentherequiredshowinghasbeenmade,thecourtshallprotectagainstdisclosureofthementalimpressions,conclusions,opinions,orlegaltheoriesofanattorneyorotherrepresentativeofapartyconcerningthelitigation.
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WaiverofPrivileges
§ MarthaStewartisbeinginvestigatedforinsidertrading
§ StewartprepareschronologyofeventsaroundImClonestocksale– Stewartsendschronologytoherlawyers– Stewartthensendschronologytoherdaughter
§ Isattorney-clientprivilegewaived?§ Iswork-productprotectionwaived?
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Waiver
§ Attorney-ClientPrivilege– Expresswaiver– At-issuewaiver– Disclosure
• WorkProduct– Expresswaiver(byclientorfirm)
– At-issuewaiver– Disclosure– whereinconsistentwithpurposeorlitigationadvantage
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Crime-FraudException
• Key– communicationsarenot(really)forthepurposeofgivingorreceivinglegaladvice,buttocommitacrime
• USv.Williams(8th Cir.2013)– defendantaskedlawyertosmugglecellphoneintoprison
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AccessingThird-PartyInformation
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Rule4-4.4RespectForRightsOfThirdPersons
(a)Inrepresentingaclient,alawyershallnotusemeansthathavenosubstantialpurposeotherthantoembarrass,delay,orburdenathirdperson,orusemethodsofobtainingevidencethatviolatethelegalrightsofsuchaperson.
(b)Alawyerwhoreceivesadocumentrelatingtotherepresentationofthelawyer'sclientandknowsorreasonablyshouldknowthatthedocumentwasinadvertentlysentshallpromptlynotify thesender.
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InadvertentProduction
• OldRule– recipientofmetadata– Notify producingpartyofproductionofprivilegedinformation
– Refrain fromreviewingprivilegedinformation– Abide byproducingcounsel'sinstruction– atleastuntilacourtordersotherwise
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NewRule4-4.4(b)
Alawyerwhoreceivesadocumentrelatingtotherepresentationofthelawyer'sclientandknowsorreasonablyshouldknowthatthedocumentwasinadvertentlysentshallpromptlynotifythesender.
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InreEisenstein (Mo.4/5/2016)• EisensteinrepresentedHusbandindivorce• HusbandaccessedWife'semailwithoutpermission,andgave
EisensteindocumentsincludingquestionsWife'sattorneyhadpreparedfordirectexamination
• EisensteindidnotproducethedocumentsreceivedfromWife'semail,untilgivingthemtoopposingcounselasexhibitsduringtrial
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ConsequencesinEisenstein
• Eisensteinwasfoundtohaveusedimproperlyobtainedinformation(violatingRule4-4.4)andconcealingdocumentswithevidentiaryvalue(violatingRule4-3.4)
• Eisensteinreceivedanindefinite(minimum6month)suspension
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ImproperAccess– Rule4-4.4(a)
• Inrepresentingaclient,alawyershallnotusemeansthathavenosubstantialpurposeotherthantoembarrass,delay,orburdenathirdperson,orusemethodsofobtainingevidencethatviolatethelegalrightsofsuchaperson.
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WhyImproper
• Illegal– maybeincriminatingclient– Evidencemaybebarred– Lawyermaybedisqualified
• Permitted– mayusedocuments
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FileRetention
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FileOwnership
• “Theclient’sfilesbelongtotheclient,nottotheattorneyrepresentingtheclient.Theclientmaydirectanattorneyorfirmtotransmitthefiletonewlyretainedcounsel.”InthematterofCupples,952S.W.2d226,234(Mo.banc1997).
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Retention– OrdinaryClientRecords
Rule4-1.22
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SixYears– UnlessWrittenConsent• Alawyershallsecurelystoreaclient'sfileforsixyearsaftercompletionor
terminationoftherepresentationabsentotheragreementbetweenthelawyerandclientthroughinformedconsentconfirmedinwriting.Suchinformedconsentconfirmedinwritingmaybemadebetweenthelawyerandtheclientatanypointduringthesixyearsaftercompletionorterminationoftherepresentation.Iftheclientdoesnotrequestthefilewithinsixyearsaftercompletionorterminationoftherepresentation,thefileshallbedeemedabandonedbytheclientandmaybedestroyed.
• ThesixyearclientfileretentionrequirementshallapplytoallclientfileswherethecompletionorterminationoftherepresentationoccursonorafterJuly1,2016.AllclientfileswherethecompletionorterminationoftherepresentationoccurspriortoJuly1,2016,shallbegovernedbythepreviouslyrequired10years.
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BewareSpoliation• AlawyershallnotdestroyafilepursuanttothisRule4-1.22if
thelawyerknowsorreasonablyshouldknowthat:(a)alegalmalpracticeclaimispendingrelatedtotherepresentation;(b)acriminalorothergovernmentalinvestigationispendingrelatedtotherepresentation;(c)acomplaintispendingunderRule5relatedtotherepresentation;or(d)otherlitigationispendingrelatedtotherepresentation.
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KeepItemsWith“IntrinsicValue”
• Itemsinthefilewithintrinsicvalueshallneverbedestroyed.
• AlawyerdestroyingafilepursuanttothisRule4-1.22shallsecurelystoreitemsofintrinsicvalueordeliversuchitemstothestateunclaimedpropertyagency.Thefileshallbedestroyedinamannerthatpreservesclientconfidentiality.
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RememberWhatYouDestroy• AlawyerdestroyingafilepursuanttothisRule4-1.22shall
maintainthewrittenrecordoftheclient'sconsentofdestructionforatleastsixyearsaftercompletionorterminationofemployment.Clientfiles,exceptforitemsofintrinsicvalue,maybemaintainedbyelectronic,photographic,orothermediaprovidedthatprintedcopiescanbeproduced.Theserecordsshallbereadilyaccessibletothelawyer.
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Dissolution– MustProtectRecordsUpondissolutionofalawfirm,thelawyersshallmakereasonablearrangementsforthemaintenanceofclientfiles.Uponthesaleofalawpractice,thesellershallmakereasonablearrangementsforthemaintenanceofclientfiles,whichincludeswrittennoticetoaclientastothelocationoftheclient'sfile.
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Retention– TrustAccountRecords
Rule4-1.15(f)
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SixYears– NoMatterWhatCompleterecordsofclienttrustaccountsshallbemaintainedandpreservedforaperiodofatleastsixyearsafterthelaterof:
(1) terminationoftherepresentation,or
(2) thedateofthelastdisbursementoffunds.
Clienttrustaccountrecordsmaybemaintainedbyelectronic,photographic,orothermediaprovidedthattheyotherwisecomplywithRules4-1.145to4-1.155andthatprintedcopiescanbeproduced.Theserecordsshallbereadilyaccessibletothelawyer.
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RequiredTrustAccountDocumentation(Missouri)
(1) receiptanddisbursementjournals
(2) client-specificledgers
(3) feeagreementsandsimilardocuments
(4) accountingstatementsshowingdisbursementsmade
(5) billsandexpensessenttoclients
(6) disbursementrecords
(7) check-bookregistersandbankstatementsortheequivalents
(8) electronictransferrecords
(9) accountreconciliations
(10)credit-cardtransactioninformation
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Dissolution– MustProtectRecords
Upondissolutionofalawfirmorofanylegalprofessionalcorporation,thepartnersshallmakereasonablearrangementsforthemaintenanceofclienttrustaccountrecords.Uponthesaleofalawpractice,thesellershallmakereasonablearrangementsforthemaintenanceofclienttrustaccountrecords.
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