Records Management and Retention

Retention and management of records is more complicated than just deciding what to keep and for how long. In what form should records be kept? Should we keep more than what the regulations require? If so, what? What about possible litigation needs? Examiner expectations must be met, of course, but other parties, such as law enforcement, auditors, and of course your customers, to name just a few, may require access to information, as well.

To manage an effective program in a cost-effective manner, compliance professionals must rely on information from a broad range of resources within the organization. Records management is the point of convergence of these resources, which is why effective and reliable records management must be part of your Compliance Program.

Covered Topics:

  • What types of information constitutes a record that we should retain?
  • Where can I look for retention requirements?
  • Are there best practices we can follow?
  • How can I set up or enhance our bank's records management program?
  • What are the risks involved in records retention?
  • What should an effective and comprehensive program look like?
  • How should the program be organized? What is a taxonomy hierarchy, for instance?
  • Litigation needs - how does this process factor in?
  • Destruction of records and information - when and how should this be done?

This will be an interactive session with several opportunities for questions and answers, so come prepared to discuss your needs and issues.

Who Should Attend?

Anyone involved in the creation, management, and destruction of information and records will benefit from the knowledge and information shared in this session, including compliance officers, auditors, information security and management, IT personnel, senior management, bank counsel, operations, privacy, and others with a vested interest to ensure a cost-effective and comprehensive records management program.


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   OnDemand Recording Only - $295   
   CD-ROM and Hardcopy Handouts - $345