Course Details

Document Retention & Destruction Policies For Financial Institutions

Webinar: ID# 1020195
Recorded CD
About This Course:
Financial institutions are subject to many federal and state laws governing document retention, so this webinar helps you understand how to craft an effective document retention and destruction policy.

The widespread adoption of computers and computer networks, as well as the sheer number and variety of documents and devices where information can be transmitted and stored, have made effective retention and appropriate destruction increasingly complicated, so the information provided in this webinar is critical for financial institutions to ensure they have the proper policies and procedures in place.


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
  • ocument Policy, Implementation, Training, and Audits
About The Presenters

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
Document Retention & Destruction Policies For Financial Institutions
Available on CD format
Course Details
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