1. Taking Transactions Mobile R. David Whitaker Senior Company Counsel Strategy and Operational Risk Group Wells Fargo Bank, N.A. November 9, 2011
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4. Baseline – Delivering Disclosures and Signing Agreements – The Record Management Cycle Secure Communication Record Management Responsibility Generate Deliver Store Manage Destroy Record Life Cycle Propagate Data Track Record Versions Extract & Index Data Create Audit Trails & Reports Secure and Consistent Record Management Active Data Processes Access Controls Quality & Integrity Controls Record Destruction Business Continuity Key Systems Issues Boilerplate Docs Transaction-specific Docs Audit Trails for Enrollment, Delivery/Signing Screen Shots & Process Flows Primary Record Categories Search and Report Capabilities Company Policies and Guidelines Record Management Audit Trails & Reports
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6. Delivering Records and Obtaining Signatures – General Signature Strategy on a Mobile Device Offline Or Online? Assure all signature elements addressed – Intent, Attribution, Authority Present record in full-screen display, Using a series of screens, if necessary Email for retention or obtain agreement and provide online retention copy Get Consent Present Document Obtain Signature Deliver Retention Copy