Jul 12

Maintaining Required FDIC Records: Compliance, Issues & Retention

Registration Options & Pricing

Please select your membership status.

Recorded Webinar Includes

  • Recording of the Live Webinar
  • Available 6 business days following Live date
  • Available for 6 months following Live
  • Handout and Take-Away Toolkit
  • Available on Desktop, Mobile & Tablet
  • Free Digital Download, yours to keep
  • Share link with anyone at your bank
  • Presenter’s contact info for follow-up

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

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.

Continuing Education:   Attendance verification for CE credits upon request


  • 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

    • 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


"Imaged Documents & Checks: Regulations & Legal Concerns"
Thursday, September 6, 2018


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.


NOTE:  All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your financial institution is prohibited. Print materials may be copied for eligible participants only.


The ePolicy Institute™ & Business Writing Institute™
You might be interested in:

We provide bank webinars on compliance, lending, regulations, security, operations, new accounts, collections, fraud, security & other topics. For more information on bank education and online training opportunities, join our mailing list.