Refining Records Management and Retention


$295.00

Presented by: Carl Pry


Mention record retention to many bankers, and get a frustrated look back. Isn't it easier to just keep everything? That way, we'll never be accused of not having something that we should. But in fact, there are risks to over-retaining, not to mention the cost involved.

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 enterprise-wide compliance program.

In this webinar, we'll address many questions, including:
  • Why is this so important?
  • How can I organize our program to save our institution money?
  • Shouldn't we just archive everything electronically and be done with it?
  • What types of information constitutes a record that we should retain?
  • Where can I look for retention requirements?
  • What objectives should the program achieve?
  • Are there best practices we can follow?
  • What are the risks involved in records retention and how can I take a risk-based approach that my examiners want?
  • What should an effective and comprehensive program look like?
  • How should the program be organized? What is a taxonomy hierarchy, for instance?
  • How do litigation needs factor into this process?
  • Should we archive all our email?
  • 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.

Target Audience
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.

About the Speaker: Carl Pry, J.D., is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Vice President and Compliance Manager for a large financial institution in Ohio. Through his working career, as well as through his experience as a banking attorney and officer, he has provided a variety of regulatory compliance and financial performance services to financial institutions and other clients throughout the country. He has written extensively regarding consumer and commercial compliance, tax, audit, and financial institution legal issues, and is a frequent contributor to and currently serves on the Editorial Advisory Board for the ABA Bank Compliance magazine. He has spoken at dozens of banking, compliance, and state bar associations, and has conducted training sessions for financial institutions across the country.


VIEW A 10 MINUTE SAMPLE
(requires Windows Media Player and IE).


CD-ROM includes:
  • Complete presentation (including slides and audio)
  • Written Materials
  • Follow-up Q & A
You have the right under this license agreement for this CD-ROM to use this presentation on a single-workstation. Use on a network is in violation of the copyright agreements. CD may be used by multiple users at a given institution but may not be placed on a network or in any other multi-user environment.

This program was recorded in its entirety in September 2009. The CD-ROM includes program slides, materials (if available) and follow-up Q & A document.

Add to Cart:

  • Model: cd_record0909
  • Manufactured by: Glia Group, Inc.


This product was added to our catalog on Monday 29 June, 2009.

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