Dealing with Subpoenas


Presented by: Mary Beth Guard                  
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Bank records tell stories. That's why bank records, and information derived from them, are often sought after in civil and criminal cases and can also be vital to the determination of whether someone is entitled to a particular government benefit, whether contractual obligations have been complied with - and so much more.

But you can't simply offer up customer information any time a request is made. Those you do business with expect you to safeguard their information and keep it private. You must honor that obligation to keep customer data shrouded in confidentiality except as compelled by law to disclose or authorized by the customer. There are processes, protocols, and in some cases statutes and rules, to be followed. You want to provide only what is permissible, within the requisite timeframe, in the proper way.

Failure to respond properly to a request for customer financial information can expose your institution to potential liability. Often, such requests involve a short time frame, leaving little time to research the applicable privacy laws in order to make the right decisions. That's why it's crucial for you to be armed with essential knowledge about what the laws allow and/or prohibit so you're in a position to easily answer these questions:
  • Can you provide the records?
  • Must you do so?
  • What's the time frame?
  • What rights does your customer have?
  • How do you protect your institution?
  • Can you get reimbursed for your time?
Why you should attend:
This webinar will help you efficiently and competently handle various types of third-party requests for customer records and information, including the common varieties -- summonses, subpoenas, and search warrants -- and the not-so-common ones, such as federal grand jury subpoenas and National Security Letters. It will provide a framework for processing the requests and will teach you what you need to know about which law applies. When the request is from a federal governmental authority, this webinar will also provide you with specific information about how to proceed. The webinar will provide an overview of the privacy laws and how they apply to information requests. The bulk of the program will focus on the federal Right to Financial Privacy Act and rights and responsibilities that come into play when a federal government authority seeks access to customer records or information.

What you can expect to learn:
  • How to dissect a request for records
  • The first 5 things to look for on a subpoena or other records request
  • When a customer is not a "customer"
  • What you need to find out about your state's law
  • How the RFPA works and when it applies
  • What the notice and challenge procedures are and when they apply
  • Why it is crucial to understand the exceptions
  • What to do when a subpoena is overbroad or unduly burdensome
  • How to identify special types of requests and how to handle them
  • Why a certificate of compliance is crucial and how to get it
  • How to avoid common mistakes with record requests
  • What you need for documentation
Who should attend:
The program is designed for compliance officers, legal counsel, security officers, operations officers -- anyone who deals with requests for customer records.

About the Speaker: Mary Beth Guard is one of the four co-founders of BankersOnline and is now Editor Emeritus, after more than 16 years of serving as Executive Editor. She was instrumental in the creation and expansion of BankersOnline, as well as the launch more than a decade ago of BOL Conferences, Inc. and its continued operation and growth. Mary Beth is also the director of, the premier subscription-based compliance service now being offered online. Also, Mary Beth serves as CEO of Glia Group, Inc., which produces BOL Learning Connect. For more than three decades, Mary Beth has utilized her background as an attorney to focus on banking industry issues, first as general counsel for the Oklahoma State Banking Department, then as general counsel for the Oklahoma Bankers Association, prior to her work with BankersOnline.

Mary Beth has presented training programs for virtually every major national financial industry association, as well as more than a dozen state bankers associations and a host of other organizations. She is a frequent presenter of webinars and seminars. In addition, Mary Beth has written more than a thousand banking-related articles and is BOL Guru #1.

This program was recorded in its entirety in October 2021. The CD-ROM includes program slides, materials (if available) and follow-up Q & A document.

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This product was added to our catalog on Thursday 17 March, 2005.

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