CFT
Webinars are purely educational. Instructors are not permitted to sell any
products or services during the presentation.
Program
Content:
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. Please forward email to appropriate person(s).
Instructor:
Carl
Pry is
a Certified Regulatory Compliance Manager (CRCM) and Certified Risk
Professional (CRP) who is a Managing Director for Treliant Risk Advisors in
Washington, DC. 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 scores of banking, compliance, and
state bar associations, and has conducted training sessions for financial
institutions across the country.
What
Is A Webinar?:
A
webinar combines the clarity of an audio teleconference with the
interactivity and visual presentation of the internet. All you need to
participate is a telephone and an internet connection. Even if you don't
have an internet connection, you can still participate in the audio
session. Listening to the program over the telephone and following the
written materials is an effective alternative!
Unable
To Attend?:
No
problem. You can purchase a recording of the webinar for future use. You
can choose from either an On-Demand Web Link (Good for 6 months from the
webinar date, unlimited use) or a CD-ROM (includes a paper copy of the
PowerPoint slides).
Viewing
Options (all options include applicable handouts):
All
options include applicable handouts. You can choose to pay by credit card
or be billed. Additional Live Webinar connections are $75 each.
Option 1: Live
Webinar and 7 Days OnDemand Video Playback - $265
Option 2:
OnDemand Video (six months access) - $295
Option 3: Live
and 6 Months of OnDemand Video - $365
Option 4: CD-ROM
Video (Includes OnDemand Video) - $345
Option 5: Entire
Package (all of the above) - $395
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