Alleyne-Dalrymple - Compliance Officer - Port of Spain, Trinidad and Tobago

Laura Alleyne-Dalrymple

Port of Spain, Trinidad and Tobago


Compliance Officer

Work History

Corporate Secretariat and the Head of The Customer Service Centres

The Operational Risk Department

are yet to respond. Responses are needed urgently in order to initiate the destruction of records for the period 1982 to 1997.

Two options were proffered as follows:

Option 1

The Corporation

(a) All indefinite records would be destroyed with records that have passed their life cycle;
(b) The Corporation would not be able to produce any documentary evidence of assignment/deletion of beneficiaries, account opening arrangements, other account registration data which have been previously requested in legal matters or by customers themselves;
(c) These records were not scanned and therefore no other physical record would be held by the Corporation; and (d) Reliance would be on system data which cannot be corroborated by physical evidence.

Option 2

Retention of indefinite records from 1982 to 1997 and destruction of only those records that have passed their life cycle for the same period.

(a) This would require another exercise to go through all of the records from 1982 - 1997 to extract documents for indefinite storage separate and apart from the exercise currently being conducted for records 1982 to 1997; and (b) This exercise would have to be done when the current exercise is concluded estimated by June 2009. This would be a very tedious and hazardous exercise as the records are quite filthy, disorganized and in some cases at the point of deterioration.

Quorum for meetings

1. It was decided that whenever we do not have a quorum consisting of at least five members, that decisions requiring urgent consideration, the documents would be sent round robin for authorization.
2. That members send a representative when they are unable to attend.
3. To place on each members' calendar the monthly meeting which is the third Wednesday of each month at 10.00am.

ICT Policies
1. To conduct yearly security awareness sessions with all staff and also with new entrants at orientation.
2. Mandatory each year that all users of the Corporation's systems should sign policies and procedures relating to usage and including dos and donts.

Irregular Transactions
1. Fraud perpetrated in December 2008 at the Arima Branch using a wire transfer as the instrument....

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