9b. IA/IC – Records Management


This advanced session will provide hands-on tools for senior investment adviser and investment company compliance and legal professionals to test their firm’s processes, procedures and systems relating to records creation and retention compliance. The session will address best practices for records management programs to ensure they are properly structured and in compliance with regulatory requirements. The program will include analysis of the records management program for investment advisers, creating an inventory, “legal hold” practices, managing retention periods, document management systems and cloud storage, backup and redundancies, business continuity, and oversight of third-party service providers.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• Learn what an effective and comprehensive records management program looks like, including suggested best practices
• Differentiate when a record needs to be kept electronically versus paper format.
• Managing legal holds, examination production, enforcement matters, and destruction of records and information – when and how it should be done
• Vetting and oversight of third-party records retention providers

Sponsored by:

Panel                        Program Level: Advanced Date: October 23, 2019 Time: 9:45 am - 10:45 am James Butz Amy Lynch