This seminar is designed for controllers, CFOs, tax managers and officers, accountants, human resource managers, bankers, enrolled agents and attorneys.
Events over the last year have highlighted the importance of having a policy with the retention and destruction of documents generated or collected during an engagement. The destruction of client documents on a random, case-by-case basis is asking for trouble if problems arise in the future. You do not want to face the anger of a client, or worse, the defense of a lawsuit, if a document destined for the shredder instead finds its way into unfriendly hands.
This seminar will not only provide you with guidelines for retaining and destroying documents, but it will also clarify what your rights are.
Topics to be discussed will include the following:
Motivations For Implementing A Records Retention Plan
Retention Of Documents Related To Litigation
The Sarbanes Oxley Act Of 2002
The Destruction Of Records
Compliance And Auditing The Program
8:30 a.m. - 9:00 a.m.
I. Overview/Reasons For Implementing A Records Retention Program
9:00 a.m. - 10:30 a.m.
II. Retention Of Documents Related To Litigation
A. Potential Litigation
B. Pending Litigation
C. Record Retention Policies In The Context Of Litigation
D. Spoliation Of Evidence
10:30 a.m. - 10:40 a.m.
10:40 a.m. - 12:00 p.m.
III. The Sarbanes Oxley Act Of 2002
12:00 p.m. - 1:00 p.m.
Lunch (On Your Own)
1:00 p.m. - 1:45 p.m.
IV. Document Destruction
A. Consequences For Improper Document Destruction
1:45 p.m. - 2:30 p.m.
V. Compliance And Auditing The Program
A. Necessary Part Of Program
B. Conducting Audit
C. Modifying The Program
2:30 p.m. - 2:40 p.m.
2:40 p.m. - 3:15 p.m.
VI. Safe Communications/Avoiding Bad Documents
3:15 p.m. - 4:00 p.m.
VII. Electronic Records
A. Advantages And Disadvantages Of Electronic Records
B. Difficulties Encountered With Electronic Retention Programs
C. Use Of Electronic Records In Litigation
D. Electronic Records Retention Under UETA And The E-SIGN Act
4:00 p.m. - 4:30 p.m.
VIII. Questions And Answers