Gain insight into the complex regulatory framework applicable to financial institutions' recordkeeping requirements, including key provisions and compliance obligations.
The importance of robust and up-to-date document retention and destruction policies for financial institutions is paramount. In this presentation, we will discuss the complex regulatory framework applicable to financial institutions recordkeeping requirements, the importance of compliance with document retention and destruction practices in investigations and litigation, the current focus on off-channel business communications by civil and criminal regulators, and examples of cases involving the failure to properly preserve or destroy business records and related repercussions. The training will also offer guidance on best practices and tips for managing recordkeeping requirements and avoiding future scrutiny by regulators or private litigants.
Agenda
Faculty
Rachel T. Copenhaver
Vedder Price P.C.
Rachel Copenhaver
- Shareholder at Vedder Price and a member of the Chambers USA-ranked Government Investigations and White Collar Defense team in the firm’s Chicago office
- Represents companies and individuals in government investigations, conducting internal investigations, counseling clients during regulatory examinations, and defending clients in securities litigation or in suits alleging directors’ and officers’ liability. Ms. Copenhaver has significant experience representing clients in regulatory investigations and proceedings brought by the Securities and Exchange Commission, the U.S. Attorney’s Office, the Federal Deposit Insurance Corporation, and other federal and state agencies
- Speaker on the considerations in regulatory and internal investigations, as well as on compliance issues and board governance. She has been selected for inclusion as an Illinois Rising Star by Super Lawyers from 2014 to 2022. She has also been selected as an Emerging Lawyer, an affiliate of Leading Lawyers, from 2014 to 2023
- Named a Top Lawyer/Woman Leader in Leading Lawyers
- Authored numerous articles on regulatory compliance and investigations
- Member of the American Bar Association and the Co-Leader of the Chicago Chapter of the Women’s White Collar Defense Association. Ms. Copenhaver is a co-founder and leader of Big Careers Little Kids (BCLK), a group connecting Chicago’s female professionals in the fields of law, finance, and business
- J.D. degree, University of Notre Dame Law School, cum laude; M.Phil. degree, University of Cambridge; B.A. degree, Yale University, magna cum laude
- Can be contacted at [email protected] and (312) 609-7514
Brooke E. Conner
Vedder Price P.C.
Brooke Conner
- Shareholder at Vedder Price and a member of the Chambers USA-ranked Government Investigations and White Collar Defense team in the firm’s Chicago office
- Represents companies and individuals in defending government investigations, conducting internal investigations, counseling clients during regulatory examinations, and representing clients in securities litigation and other complex civil litigation matters
- Successfully represents public and private companies, investment advisers, broker-dealers, hedge funds, boards of directors, board committees, and service providers, as well as officers, directors, and other individuals facing an investigation or government scrutiny
- Co-presented a webinar discussing record-keeping obligations relating to off-channel communications for business entities and how to manage the use of personal devices for business purposes
- Authored numerous articles and blog posts regarding SEC and regulatory enforcement issues
- Member of the American Bar Association (ABA) and the Women in White Collar Defense Association (WWCDA)
- J.D. degree, Loyola University Chicago School of Law, magna cum laude; B.A. degree, Miami University, magna cum laude
- Can be contacted at [email protected] and (312) 609-7529
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