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Subpoenas, Summonses and Search Warrants

Presented by:
Mary Beth Guard

April 19, 2005
        11:30AM-1:30PM PDT
        12:30PM-2:30PM MDT
        1:30PM-3:30PM CDT
        2:30PM-4:30PM EDT

Materials (only available to registered users)


  • A federal agent is in your office with a search warrant, demanding immediate access to records of your customer.
  • This morning's mail contains a third-party recordkeeper summons from the IRS.
  • An FBI agent shows up with a national security letter and wants copies of records relating to a match your institution had with an individual on a 314(a) search list.
  • You have a federal grand jury subpoena requesting information on a customer.
  • The latest subpoena you've received asks for a huge volume of customer records going back many years. It will take your staff hours to complete the task.
  • Can you provide the records? Must you do so? What's the time frame? What rights does your customer have? How do you protect your institution? Can you get reimbursed for your time?
Failure to respond properly to a request for customer financial information can expose your institution to potential liability. Often, such requests involve a short time frame, leaving little time to research the applicable privacy laws in order to make the right decisions.

Why Should You Attend?
This webinar will help you be able to efficiently and competently handle summonses, subpoenas, and search warrants by teaching you what you need to know about which law applies. When the request is from a federal governmental authority, this webinar will also provide you with specific information about what that law requires. The webinar will provide an overview of the privacy laws and how they apply to information requests. The bulk of the program will focus on the federal Right to Financial Privacy Act and rights and responsibilities that come into play when a federal government authority seeks access to customer records or information. We'll take you step by step through the process of determining what law applies, what your duties are, and the steps you need to take to protect your institution and your customers.

What Can You Expect To Learn?
  • When a request is - or is not - covered by the federal RFPA;
  • What other laws may come into play;
  • Seven requirements for valid customer authorizations;
  • How the notice and challenge procedure works;
  • Special situations where you cannot inform the customer;
  • The most common exceptions to RFPA coverage;
  • What to do when the request is unduly burdensome;
  • Why a certificate of compliance is crucial and what its timing should be;
  • Six questions to ask when you receive a records request;
  • and much more.

About the speaker:  Mary Beth Guard
Mary Beth Guard has been teaching financial privacy to bankers since the early 1990s and has authored more than a hundred articles on private-related subjects. In addition, she has created privacy cheat sheets and matrices used by thousands of bankers nationwide. Currently serving as Executive Editor of BankersOnline.com, Mary Beth has had a long and distinguished career, focusing on the banking industry since 1984. Previously, Mary Beth served as EVP/General Counsel and COO for the Oklahoma Bankers Association and General Counsel for the Oklahoma State Banking Department.

About the seminar:
One registration is required per location. If the complete broadcast is received via the computer the AUDIO and VIDEO COMPONENTS can be connected to an A/V projector to allow multiple participants to view the conference. If the audio portion of the broadcast is received via the telephone the AUDIO portion can be placed on speaker phone to allow multiple participants. Interactive components delivered via Web include slides, online polls and interactive Q&A via chat.

Each registration also comes with one ARCHIVED viewing of the event. This will enable you to participate in the LIVE event as well as train additional staff from the ARCHIVED event.

Handouts will be provided and we welcome questions during and after the seminar, as well as in advance. Questions received after the webinar will be posted on a special Web page for later viewing by seminar attendees.

Contact Information: Billing questions can be directed to Carin Eisenhauer, carin@bankersonline.com. All other questions may be directed to mpetry@bankersonline.com

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