Compliance Activity Reports

Reports which generally summarize compliance activities to the Board of Directors or from the Compliance Liaisons to the Compliance Officer.

Category

Compliance and Risk Management

Maintainer

Office of Compliance

Retention Period

Retain for six years from the date materials replaced or updated then dispose of.

Disposition Instructions

Confidential destruction is required. Paper must be shredded, pulped, or incinerated; electronic records must be overwritten or the storage media physically destroyed. Deletion of information in computer files or on electronic storage media is not sufficient.

Last Updated: December 31, 2008