eTrade 2012 Annual Report Download - page 233

other forums and should never post or share proprietary E*TRADE work content. To review the Company’s policy regarding
references and verification of employment visit:
https://mychannele.corp.etradegrp.com/web/life/policy/employment.
Outside Lawyers
Only the Legal Department has the authority to hire outside lawyers on behalf of E*TRADE. Accordingly, you cannot retain any
lawyer or law firm on behalf of E*TRADE without the express prior approval of the General Counsel, and you must obtain approval
from the Legal Department before speaking to any outside lawyer regarding E*TRADE.
Treatment of Privileged Communications and Documents
You must treat all communications and documents seeking or receiving legal advice or preparing for litigation as confidential and
subject to the attorney-client privilege. This includes communications with, and documents created at the direction of, the Legal
Department or E*TRADE’s outside counsel. You should only communicate such information and documents within E*TRADE on a
strict need-to-know basis and only at the direction of the Legal Department. You may not disclose such information or documents to
anyone outside E*TRADE unless specifically directed to do so by E*TRADE’s assigned in-house legal counsel.
Documents that are prepared for, or at the direction of the Legal Department or appropriately retained outside counsel, should be
marked “Attorney-Client Communication, Privileged and Confidential.” Note, however, that merely marking documents “Privileged”
or “Confidential” does not provide legal protection from disclosure to a regulatory authority or a litigation adversary unless the
document satisfies the legal requirements for the relevant privilege. Similarly, the failure to write “Privileged” or “Confidential” does
not mean that a privilege is waived. Documents are not protected from disclosure to a regulator or in litigation merely because the
author copies someone in the Legal Department or because the author believes the documents are personal or private. Moreover,
some foreign jurisdictions do not recognize the legal concept of privilege. If you have any questions about whether a communication
or document is privileged, consult the Legal Department.
LITIGATION, INVESTIGATIONS, INQUIRIES AND COMPLAINTS
During litigation, an internal investigation, or a governmental, regulatory, administrative or SRO inquiry, audit or exam involving
E*TRADE, you may be asked to provide information, including documents, testimony or statements to the Legal and Compliance
Departments, E*TRADE’s outside counsel, or a governmental, regulatory or administrative authority or SRO. You may also be asked
to meet with these entities or persons. As a term and condition of your position with E*TRADE, you must consider such a request
your top priority, and you must cooperate fully with any such request, in coordination with the Legal and Compliance Departments,
and provide truthful information. You are not permitted to discuss any such request, or the substance of any discussions or requests,
with any third party, including any individual who may be the subject of an investigation or inquiry, without prior approval from the
Legal and Compliance Department. If you are contacted by an individual who may be a subject of an investigation and are requested
to provide information about the investigation, you must inform the individual that you are not permitted to disclose any information,
and you must contact the Legal and Compliance Departments to inform them of the contact. Failure to do so may subject you to
disciplinary action up to and including termination of your employment In addition, E*TRADE may provide information, including
documents, testimony or statements, concerning you or your activities at E*TRADE in connection with requests or inquiries by
governmental, regulatory or administrative authorities or SROs. E*TRADE retains the discretion to provide any information in
accordance with applicable law.
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