Record Retention & Destruction Rules: Compliance & Best Practices

Aug 31, 2017 03:00pm -
Aug 31, 2017 04:30pm

Event Description

Various regulations and federal and state laws mandate retention of specific documents (both traditional paper documents and electronically stored information) for a designated period of time.  Unfortunately, these laws overlap and conflict, causing confusion.  In the past, some institutions simply retained all records permanently “to be on the safe side.”  That isn’t practical today because retaining all records can actually harm the financial institution.  All institutions must have a systematic record-retention and destruction policy that covers electronically stored information and traditional paper documents.  This webinar will address the legal and regulatory requirements and practical considerations for both electronic and paper document retention and destruction.


  • What documents should be kept and for how long?
  • How should electronic records be handled?
  • What special steps must be taken when regulatory action or litigation is threatened?
  • What are the common mistakes?

Take-Away Toolkit:

  • Sample document retention and destruction policy
  • Supplemental handout covering your state’s specific requirements
  • Employee training log
  • Quiz you can administer to measure staff learning and a separate answer key


Attendance verification for CE credits provided upon request.

Who Should Attend?

This informative session is designed for deposit and loan staff, operations personnel, compliance staff, managers, auditors, and anyone else responsible for creating record-retention policies and responding to document requests. 


If you are having issues with registering online, please contact CBAO's Education & Training Coordinator, Lianne Simeone, (614) 610-1877.

Event Type:Webinar &/or On-Demand Link/CD
Early registration ends on Jun 21, 2017.
Regular registration starts on Jun 22, 2017 and ends on Aug 31, 2017.
Late registration starts on Sep 01, 2017.
(GMT-05:00) Eastern Time (US & Canada)


Registration Fees
Fee TypeEarlyRegularLate
 Live Webinar
Member Fee: $265.00$265.00$290.00
Non-Member Fee: $400.00$400.00$425.00
 Additional Hookups
Member Fee: $175.00$175.00$175.00
Non-Member Fee: $260.00$260.00$260.00
 Recorded Webinar + Free Digital Download
Member Fee: $345.00$345.00$345.00
Non-Member Fee: $490.00$490.00$490.00
 Both Live Webinar and Recorded Webinar + Free Digital Download
Member Fee: $395.00$395.00$420.00
Non-Member Fee: $600.00$600.00$625.00