AGENCY: Insurance Department

SERIES: 22006
TITLE: Fiduciary audit files
DATES: 1981-
ARRANGEMENT: Alphabetical by name of agency

DESCRIPTION: These records are gathered and reviewed to determine if the licensee is in compliance with UCA 31A-23-211, 313, and 403(8) (1999), and UAC R590-136(1999). The files include letters, copies of account statements and checks, summaries of phone calls, audit work papers, notes, memoranda, balance sheets, and reports.

RETENTION

Retain for 5 year(s)

DISPOSITION

Destroy.

RETENTION AND DISPOSITION AUTHORIZATION

Retention and disposition for this series were specifically approved by the State Records Committee.

APPROVED: 11/1999

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 4 years and then destroy.

APPRAISAL

Administrative Fiscal

This disposition is based on the use of these files in audits of licensees' financial records to ensure their compliance with UCA 31A-23-211, 313, and 403(8)(1999), and UAC R590-136(1999).

PRIMARY DESIGNATION

Protected. UCA 63G-2-305(2)(a)