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Information Governance for Banking and Financial Services

Gain a better understanding of the banking and financial services industries' responsibilities in the increasingly business-critical areas of information governance, privacy, and data protection.Information is the lifeblood of commerce in the 21st century. And few industries face greater challenges when it comes to managing information than financial institutions and financial services, where dizzying volumes and varieties of sensitive data; extensive federal, state, and global regulation; complex and rapidly evolving technologies; and competitive pressures both internal and external all combine to create a near-perfect storm for those tasked with the closely related domains of information governance, privacy, and data protection. This content will review the fundamentals of information governance and related issues for banks and financial services firms. Understand the essential elements and objectives of a successful information governance program; the legal landscape within which banks and financial services firms must manage such programs; and some of the particular challenges created by the increasingly global stage on which such entities operate. And because information governance is inextricably intertwined with privacy and data protection, the content will address that intersection and key considerations for incorporating privacy and data protection into a successful IG program. Knowledge is only useful if those charged with action understand how to use it. To that end, the material will focus on practical strategies for designing and implementing a 21st-century information governance program. Understand the roles and essential characteristics of sound records retention policies and schedules, data maps, and other mission-critical policies and procedures. Learn how in many areas, problems created by technology are being solved by technology, and spend some time separating myth from reality. Finally, hear about one of the hottest topics in IG today: Defensible disposition. Learn the warning signs of data hoarding and a framework for doing something about it. Again, the material is intended to be highly practical, so takeaways will include strategies not only for diagnosing problems, but also real-world techniques and use cases for solving them in manners consistent with legal and regulatory obligations, including litigation holds, and business needs.


Runtime: 93 minutes
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Why Lorman?

Over 30 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

What Is Information Governance?

  • Sitting ‘Round the Table: The Information Governance Reference Model
  • The World According to GARP (Generally Accepted Recordkeeping Principles)

The Legal Landscape: Key FinServ Laws and Regulations

  • U.S. and Global Regulations
  • Must and Can't? Reconciling Conflicting Obligations

The Many Faces of Data-Related Risk

Privacy, the New IG Imperative

Modernizing Records Retention

  • Document Retention in a Paperless World
  • Cornerstones: Retention Policies, Schedules, and Data Maps
  • Ground Rules: Key IG Policies and Procedures
  • Technology vs. Technology
  • InfoGov by Design
  • The Holy Grail: Autoclassification

Defensible Disposition

  • Hoarders, Inc.: Conditions, Causes, and Consequences of Overretention
  • Doing Disposition Defensibly

Calls to Action: Short-, Mid-, and Long-Term Opportunities to Enhance IG in Most Organizations

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Why Lorman?

Over 30 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 Webinar

This course was last revised on September 27, 2017.

Call 1-866-352-9540 for further credit information.

  • AL CPE
     
  • This course is acceptable for 1.5 live credit hour(s) through the Alabama State Board of Public Accountancy.
     
  • GA CPE
     
  • This program is applicable for CPE credit. *The Georgia State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • IA CPE
     
  • This program is applicable for CPE credit. *The Iowa State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • IN CPE
     
  • This program is applicable for self study CPE credit. *The Indiana State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • KY CPE
     
  • This Ondemand program is applicable for CPE credit. *The Kentucky State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • MA CPE
     
  • This Ondemand program is applicable for CPE credit. *The Massachusetts State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • MD CPE
     
  • This course is not pre-approved for CPE credit in your state however, it is applicable. *Please check the rules and requirements in your state for compliance.
     
  • ME CPE
     
  • This Ondemand program is applicable for CPE credit. *The Maine State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • MI CPE
     
  • This Ondemand program is applicable for CPE credit. *The Michigan State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • MO CPE
     
  • This Ondemand program is applicable for CPE credit. *The Missouri State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • MT CPE
     
  • This Ondemand program is applicable for CPE credit.* *The Montana State Board of Accountancy has final authority on the acceptance of individual courses and providers. Please check the rules and requirements for CPE compliance and calculate the amount of credit hours you can claim for self study courses.
     
  • ND CPE
     
  • This Ondemand program is applicable for CPE credit. *The North Dakota State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • NH CPE
     
  • This Ondemand program is applicable for CPE credit. *The New Hampshire State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • NV CPE
     
  • This Ondemand program is applicable for CPE credit.*The Nevada State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • OH CPE
     
  • This Ondemand program is applicable for CPE credit. *The Ohio State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • PA CPE
     
  • This Ondemand program is applicable for CPE credit. *The Pennsylvania State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • TX CPE 1.8
     
  • Lorman Business Center, Inc. has registered with the Texas State Board of Public Accountancy as a CPE Sponsor. This registration does not constitute an endorsement by the Board as to the quality of our CPE Program. This program qualifies for 1.8 hours of continuing professional education.
     
  • VA CPE
     
  • This Ondemand program is applicable for CPE credit. *The Virginia State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     
  • WA CPE
     
  • This Ondemand program is applicable for CPE credit.* *Please check the rules and requirements in your state for compliance.
     
  • WY CPE
     
  • This Ondemand program is applicable for CPE credit. *The Wyoming State Board of Accountancy has final authority on the acceptance of individual courses and providers.
     

This program format does NOT qualify, nor meet the National Standard for NASBA accreditation.

Audio & Reference Manual

  • Arizona CLE 1.5
     
  • CA MCLE 1.5
     
  • CT CLE 1.5
     
  • GA CLE 1.5
     
  • HI CLE 1.5
     
  • IL CLE 1.5
     
  • ME CLE 1.5
     
  • MT CLE 1.5
     
  • NJ CLE 1.8
     
  • NV CLE 1.5
     
  • VT CLE 1.5
     
  • WA CLE 1.5
     
  • WV MCLE 1.8
     
The CLE Code is ONLY a requirement when applying for CLE Credit in California (for participatory credit), Kansas, New Jersey or New York. Other states do not need to supply the CLE Code to apply for CLE credit.

This program format does NOT qualify, nor meet the National Standard for NASBA accreditation.

MP3 Download

  • Arizona CLE 1.5
     
  • CA MCLE 1.5
     
  • CT CLE 1.5
     
  • HI CLE 1.5
     
  • IL CLE 1.5
     
  • ME CLE 1.5
     
  • MT CLE 1.5
     
  • NJ CLE 1.8
     
  • NV CLE 1.5
     
  • VT CLE 1.5
     
  • WA CLE 1.5
     
  • WV MCLE 1.8
     
The CLE Code is ONLY a requirement when applying for CLE Credit in California (for participatory credit), Kansas, New Jersey or New York. Other states do not need to supply the CLE Code to apply for CLE credit.

This program format does NOT qualify, nor meet the National Standard for NASBA accreditation.

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Why Lorman?

Over 30 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

Jeffrey C. Sharer

Jeffrey C. Sharer

Akerman LLP

  • Partner and Co-Chair of Akerman LLP's Data Law Practice
  • Concentrates his practice in the increasingly business-critical area of information law; practice encompasses information governance, electronic discovery, and privacy and data protection
  • Helps clients mitigate risk, reduce cost, and create business value through sound, end-to-end governance of enterprise data
  • Deep understanding of both law and technology helps clients proactively meet the legal, compliance, and other challenges associated with the "digital deluge"
  • Advises clients on the development and implementation of records retention policies and schedules, litigation preparedness and discovery strategy, defensible disposition of email and other electronic and hard copy information, and "e-policies" such as "bring your own device," social media, information classification, and data privacy
  • J.D. degree, high honors, University of Chicago Law School; A.B. degree in economics and psychology, University of Michigan
  • Can be contacted at 312-634-5700 or [email protected]
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Why Lorman?

Over 30 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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Product ID: 399846
Published 2017
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