Course Details

Document Retention and Destruction Policies for Financial Institutions

Webinar: ID# 1014848
Recorded CD
About This Course:
This webinar helps financial institutions understand how to craft an effective document retention and destruction policy, combining people, processes, and appropriate technology to meet not only compliance requirements but various corporate goals as well.

The webinar also will underscore the importance of an effective "litigation hold" program to suspend record destruction in the event of pending or reasonably foreseeable litigation, audits, or government investigations. Failing to preserve or protect certain documents can result in real and substantial negative consequences for financial institutions.

This webinar is critical for financial institutions so they can ensure they have policies and procedures in place to preserve and protect those documents where appropriate and necessary.


Basic Principles to Consider
  • People, Processes, and Technology
  • Compliance Not the Only Goal
  • Reasonable and Practical Is the Touchstone
Creating a Document Retention and Destruction Policy
  • Assemble Your Team
  • Identify the What, Why, and Who
  • Map Information Assets
  • Define and Classify Documents Based Upon Value
  • Create Schedules for Retention, Archive, Destruction
  • Suspend Destruction When Appropriate
Implement Your Policy
  • Obtain Input and Buy-in
  • Implement Policy Directives
  • Train Employees
  • Organize, Archive, Destroy
Monitor and Refine Your Policy
  • Track Compliance and Measure Performance
  • Audit Practices
  • Review and Modify Periodically
  • Document Policy, Implementation, Training, and Audits
About The Presenter

Jack Pringle
  • Partner in the law firm of Adams and Reese LLP
  • Practice emphasizes privacy, information security, and information governance for financial institutions, healthcare providers, public utilities, and other businesses. Pringle has obtained the CIPP-US designation from the International Association of Privacy Professionals (IAPP), and advises clients on the retention, collection, management, and production of electronically stored information (“ESI”)
  • Conducts regular seminars and workshops on numerous topics, including privacy, data security, information governance, ESI, social media, and the effective use of technology
  • Wrote several articles in the areas of privacy, data security and information governance
  • J.D. degree, University of South Carolina School of Law; B.A. degree, Washington and Lee University
Document Retention and Destruction Policies for Financial Institutions
Available on CD format
Course Details
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