Maintaining Required FDIC Records: Compliance, Issues & Retention

Jul 12, 2018 03:00pm -
Jul 12, 2018 04:30pm
As we transition to a new online membership platform, CBAO will not be processing online orders from September 21-30. Please call our office at (614) 846.8124 to register for a webinar or an event. Thank you!

A list of upcoming events is presented below:

Event Description

Is your bank retaining email and other electronic business records in compliance with FDIC rules, organizational guidelines, and the law?  Could your bank survive a protracted regulatory audit or costly legal settlement triggered by record mismanagement?  The FDIC requires banks to manage and retain email and other electronic records in compliance with the E-Sign Act.  Federal and state laws require banks to preserve, protect, and produce electronic records in compliance with e-discovery guidelines.  FFIEC, GLBA, SOX, FINRA, SEC, and HIPAA require financial institutions to manage and maintain electronic business records including email, text messages, and social media posts in compliance with regulatory rules.  With increasing mobile device and social media use in the workplace, bankers must effectively manage the compliant creation, retention, and disposition of FDIC records, e-statements, business record emails, and other electronically stored information (ESI).  Noncompliance could result in litigation, fines, and unhappy customers.  Join us to review FDIC and E-Sign record requirements; email, social media, and mobile device record risks; and ESI retention rules, policies, and best practices.


  • FDIC requirements for managing and maintaining business records
  • E-Sign: What is it and what does it require?
  • What is an electronic business record?  What is transitory, non-record messaging?
  • What constitutes the lawful retention and disposition of email, social media, text messages, and other ESI?
  • Regulatory requirements for the preservation, protection, and production of electronic business records
  • Writing effective, best-practice-based electronic record retention policies
  • Supporting your record retention policy with litigation hold rules
  • Determining record lifecycles and deletion schedules for your bank
  • E-discovery: What courts require
  • Ensuring your bank’s email and other electronic records are legally valid
  • Educating employees about their individual record-retention roles
  • Technology solutions: best practices to support FDIC and legal compliance
  • Real-life disaster stories: Costly consequences of FDIC, E-Sign, legal, and regulatory noncompliance

Take-Away Toolkit

  • Checklist: Seven Steps for Effective & Compliant E-Record Management
  • Whitepaper: Electronic Record Management: Compliant Record Retention Policies & Procedures in the Age of Email & Social Media
  • 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?

Compliance officers, risk managers, records managers, IT directors, operations managers, and others charged with preserving, protecting, and producing ESI in compliance with FDIC, the law, and regulators will benefit from this program.

Registration Options:

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 Apr 06, 2018.
Regular registration starts on Apr 07, 2018 and ends on May 12, 2018.
Late registration starts on May 13, 2018.
(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