Record Retention & Destruction Rules: Compliance & Best Practices

Thursday, September 28, 2017

9:00 am – 10:30 am HST
12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET

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.

Continuing Education: Attendance verification for CE credits upon request


  • 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?

    • 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


"Imaged Documents: What to Keep, What to Destroy, What Holds Up in Court?"
Tuesday, February 28, 2017
Recorded version available until 12/31/17


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.

PLEASE NOTE: Program content is subject to copyright and intended for your individual financial institution’s use only.