Aug 5

Official Demands Part 1: Handling Subpoenas, Summonses & Other Legal Process

Registration Options & Pricing

Please select your membership status.

Recorded Webinar Includes

  • Recording of the Live Webinar
  • Available 6 business days following Live date
  • 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

Your institution probably receives at least one subpoena, summons, or other type of legal process each day. The risk is that your staff may not be trained on the proper way to accept service of process for your institution or on the proper way to respond to these legal documents. This could expose your institution to significant monetary damages and regulatory complaints. This webinar will explain legal processes, potential liability, and the situations when documents may be served on your institution. Join us to learn the necessary steps to properly accept service of process and properly respond to these legal documents, including identifying the information that can and can’t be disclosed, determining when the accountholder must be notified, and testifying in court or substituting an Affidavit of Records Custodian.

Attendance certificate provided to self-report CE credits.


  • What financial privacy restrictions are imposed when responding to legal process?
  • What is the difference between a subpoena and a summons?
  • How do you know if it’s an official document or a fake?
  • When is your institution required to notify the accountholder?
  • Can you charge copying costs and fees?
  • When can you use an Affidavit of Records Custodian instead of physically appearing in court?

    • Sample Affidavit of Records Custodian form
    • Employee training log
    • NEW – Interactive quiz


This informative session will benefit deposit operations personnel, tellers, account service representatives, collectors, compliance personnel, privacy officers, auditors, attorneys, and managers.


This program is the first of two in a series

"Official Demands Part 2: Handling Garnishments, Levies & Judgment Liens"
Thursday, September 5, 2019


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.


Spencer Fane LLP
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