Record Retention & Destruction Rules

 Member Service  Compliance/Regulatory

Registration and Pricing Information

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Registration Investment:
FREE for Power Learner Passport
$200 for Affiliates Non-PLP
Non-Affiliated Contact Leslie Poole

Program Description

Is your credit union retaining electronic and hard copy business records in compliance with regulatory rules and guidelines?
A comprehensive, well-organized records retention system is essential for storing your important documents and producing them for audit and examination purposes, member inquiries, and litigation.

In this session Jeremy Smith, of PolicyWorks will discuss regulations, guidelines, and tips for safely storing and maintaining your credit union’s key documents, including:

  • Membership records and account transactions
  • Loan applications and underwriting documentation
  • USA PATRIOT Act compliance documentation
  • Internal Control & Monitoring Reports
  • Accounting entries
  • Investment records
  • Personnel files
  • Business Resumption/Disaster Recovery Plans & Procedures

Program Length: 70 minutes

Who Should Attend

Credit union professionals who preserve or manage hard copy and electronically stored records, especially in these positions:

  • Compliance officers
  • Records Management
  • Information Technology
  • Risk Management
  • Operations

Meet The Presenter:

As Compliance Officer at PolicyWorks LLC, Jeremy Smith assists credit unions across the country with ensuring their compliance programs conform to Federal rules. In addition, he helps credit unions strategically plan for upcoming compliance changes, provides consulting relative to current regulations, and provides education services to credit union professionals.

Before coming to PolicyWorks, Jeremy worked in regulatory compliance developing policies, coordinating and communicating with state and federal examiners, developing and monitoring the company’s compliance risk assessment and developing a compliance management system. Jeremy has an undergraduate degree in Business Administration from Drake University in Des Moines, Iowa.


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