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Agency Schedule Detail

Authorization Number :  800-0802
Agency Series No. :  18000691
Status :  Active
Agency Web Link : 
Agency :  COM
Confidential Description : 
Division :  COMSEC7
Vital Description : 
Section :  COMSEC7LIC8
Record Title :  Investment Advisers
Revision :  0
Record Description :  These files contain applications and related correspondence and documentation for investment adviser licensure, renewal application, updates, notices of termination and other materials related to investment adviser licensing and notice filings.
Retention Period Retention Justification Media Code Method of Disposal
Retain hard copy in operating area for a period of 5 years from the date of approval, denial, renewal or scanned and verified, then destroy. O.A.C. 1301:6-3-48 reads in pertinent part: "The division shall draft schedules for the retention of originals or copies of documents filed with the division...(for a) period which shall be no less than five years." Paper Shred
Retain machine readable records on database for 5 years from the date of (Licensee''s, Firm''s) last application, renewal or compliance activity is completed or closed. O.A.C. 1301:6-3-48 reads in pertinent part: "The division shall draft schedules for the retention of originals or copies of documents filed with the division...(for a) period which shall be no less than five years Electronic Erase

Approvals

Status Name Title Date
Approved Colleen Brown Records Coordinator 3/30/2016 2:16:00 PM
Approved Justin Hunt Records Officer 5/9/2016 2:25:00 PM
Approved Bunnie Jones Record Administrator 5/20/2016 4:46:00 PM
Approved Fred Previts State Archivist 5/24/2016 8:05:00 AM
Approved Martin Meeks State Auditor 5/26/2016 1:20:00 PM

Notes

Date Reason User

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