Hi all!

It has been a while since I've posted to the list, so I'll reintroduce myself. My name is Debi and I work as a Records Analyst for a Financial Institution.   My group has been approached by a couple of business units that are being affected by the Dodd Frank Act.  They are concerned about ensuring they are abiding by the new rules put forth by the Act.

My question is for other financial institutions.  In my research on how this affects RIM, I have found reference to retention of records, but it's basically stating we must have a retention schedule and it must be followed.  (We do).  I am drawing the conclusion that this Act has more to do with the processes and procedures the business unit must follow in regard to investments and mortgage backed securities.  Does anyone else have additional information on how this affects RIM?  Do you have any suggestions to the business units based on your company's experience with this?

You are welcome to email me directly if that is more convenient.  Thank you for your help and I look forward to hearing your input.

BBVA Compass
Debi Tadd
Records and Information Management Analyst
Tel. 512-453-4272 - Fax 512-453-0899 - Mobile 512-284-2035 - [log in to unmask]<mailto:[log in to unmask]>
Shoal Creek - 7951 Shoal Creek, Austin, TX  78757
TX-AU-SH-PMG

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