AGENCY: Department of Commerce. Division of Securities
SERIES: 24584
TITLE: Audit work files
DATES: 1999-
ARRANGEMENT: Alphabetical by case name.
DESCRIPTION: These files contain vulnerable adult reports and other information obtained from broker-dealers and agents, investment advisers and investment adviser representatives, during securities audits and reporting. This information is compiled in order to create audit reports and exhibits. These files contain supporting documentation for administrative and civil securities cases. Personal Identifying Information (PII) that may be contained within Division audit work files: name, DOB, SSN, phone number, home address, email address, state of birth, country of birth, sex, height, weight, hair color, eye color, personal residential history, biometric data, criminal records, financial statements. Purpose for which Audit Work Files is Collected: The Division collects audit work files to create audit reports for examinations and exhibitions for administrative filings.
RETENTION
Retain for 10 year(s)
DISPOSITION
Destroy.
RETENTION AND DISPOSITION AUTHORIZATION
Retention and disposition for this series were specifically approved by the State Records Committee.
APPROVED: 02/2003
FORMAT MANAGEMENT
Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 9 years and then destroy.
Audio cassettes: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 9 years and then destroy.
Video recordings master: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 9 years and then destroy.
APPRAISAL
Administrative Fiscal Legal
PRIMARY DESIGNATION
Protected. UCA 63G-2-305(9)(e)