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.
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Agenda
Heightened Focus on Retention and Destruction Policies and Practices
Financial Institution Regulatory Framework
Data Privacy and Cybersecurity Concerns
Spotlight on Off-Channel Communications
Examples of Improper Retention/Destruction Issues and Collateral Consequences Associated With Deficient
Retention and Destruction Policies and Practices
Practical Tips and Key Strategies for Success
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Credits
OnDemand Course
This course was last revised on November 30, 2023.
Call 1-866-352-9540 for further credit information.
- AK CLE 1.0
- Alaska attorneys may receive 1.0 hours of continuing legal education for completing this program. Please contact the Alaska Bar Association or go to www.alaskabar.org for details regarding reciprocity with other states.
- AL CLE 1.1
- This course or a portion thereof has been approved by the Alabama State Mandatory Continuing Legal Education Commission for a maximum of 1.1 hours credit.
- AR CLE 1.0
- This course has been approved for 1.0 hours of CLE by the Arkansas CLE Board.
- Arizona CLE 1.0
- The Arizona State Bar does not pre-approve or pre-certify MCLE programs. However, records of this program and attendance will be maintained by Lorman Education Services for auditing purposes. This activity may qualify for up to 1.0 hours toward your annual CLE requirement for the State Bar of Arizona.
- CA MCLE 1.0
- Lorman Education Services is a State Bar of California approved MCLE sponsor and this course qualifies for 1.0 CLE hours of participatory credit.
- CT CLE 1.0
- Neither the Connecticut Judicial Branch nor the Commission on Minimum Continuing Legal Education approve or accredit CLE providers or activities. This course has been approved for CLE credit in jurisdictions aside from CT and therefore it automatically meets the content and delivery requirements in Connecticut. Credit is based on a 60 minute credit hour and shall be awarded as follows: 1.0 CLE credit(s).
- GA CLE 1.0
- This program has been approved by the Georgia Commission on Continuing Lawyer Competency for 1.0 CLE hours.
- HI CLE 1.0
- This program was approved by the Hawaii State Board of Continuing Legal Education for 1.0 CLE credit hours.
- IL CLE 1.0
- This course was approved for a total of 1.0 hours of MCLE Credit by the Illinois MCLE Board.
- MO CLE 1.3
- This course qualifies for self-study CLE credit in Missouri.
- ND CLE 1.0
- North Dakota CLE policy does not allow for pre-approval of any self-study courses. This course may qualify for up to 1.0 hours of CLE credit.
- NH MCLE 1.1
- NH MCLE does not approve or accredit CLE activities for the NH Minimum CLE requirement. Lorman Education Services believes this Ondemand course meets the requirement of NH Supreme Court Rule 53 and may qualify for CLE credit(s). Program Length: 64 Minutes.
- NM CLE 1.0
- This program has been approved by the New Mexico Minimum Continuing Legal Education Board for 1.0 hours of credit.
- NV CLE 1.0
- This program has been approved by the Nevada Board of Continuing Legal Education for 1.0 CLE hours.
- NY CLE 1.0 including Areas of Professional Practice 1
- This course has been approved in accordance with the requirements of the New York Continuing Legal Education Board for up to a maximum of 1.0 credit hours in the area(s) of Areas of Professional Practice for 1.00 hour. Each hour may be counted only as satisfying one category of credit. Duplicate credit for the same hour of instruction is not permitted. This course qualifies for both established and newly admitted attorneys. Lorman Education- Noggin Guru, Inc. has a financial hardship guideline. Please contact customer service at 1.866.352.9539 for instructions on how to apply.
- PA CLE 1.0
- This Distance Learning program has been approved by the Pennsylvania Continuing Legal Education Board for 1.0 hours of substantive law, practice and procedure CLE credit.
- RI CLE 1.0
- This program has been approved by the Rhode Island Mandatory Continuing Legal Education Commission for 1.0 hours of CLE credit.
- VA CLE 1.0
- This program has been approved by the Virginia Mandatory Continuing Legal Education Board for 1.0 CLE credit hours.
- VT CLE 1.0
- This self-study program has been approved by the Mandatory Continuing Legal Education Board of Vermont for 1.0 hour(s) of CLE credit. Please note: Attorneys may only claim 12 credits per compliance period in this format. This course is considered "Non-Moderated Programming without Interactivity".
- WV MCLE 1.3
- This program has been approved by the West Virginia State Bar MCLE Commission for 1.3 MCLE hours.
To earn each credit Lorman offers through the OnDemand learning platform, you need to watch 100% of the program. Also, for certain credits you will need to fulfill additional requirements which will be displayed on the "credits" tab when viewing the course.
Virginia MCLE requirements do not allow approval for programs that do not include an audio or audiovisual component.
This program was previously offered as a live webinar. Virginia MCLE requirements do not allow approval for attendance at duplicate programs.
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
MP3 Download
- AK CLE 1.0
- Arizona CLE 1.0
- CA MCLE 1.0
- CT CLE 1.0
- HI CLE 1.0
- MO CLE 1.3
- NJ CLE 1.3
- NM CLE 1.0
- NY CLE 1.0 including Areas of Professional Practice 1
- VT CLE 1.0
- WV MCLE 1.3
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
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Credit
More Program Information
Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Faculty
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
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
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
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