Managing Records in Global Financial Markets : Ensuring Compliance and Mitigating Risk book cover
1st Edition

Managing Records in Global Financial Markets
Ensuring Compliance and Mitigating Risk

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ISBN 9781856046633
Published August 29, 2011 by Facet Publishing
272 Pages

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Book Description

Readership: This much-needed textbook will be essential reading for records managers, archivists and information professionals who manage records in the financial sector. It will also be invaluable for individuals engaged in a wide range of disciplines who rely on records to meet the increasing number of legal and regulatory obligations to which institutions engaged in global banking and finance are now subject. These include: compliance professionals, data protection officers, governance professionals, regulators and risk managers, senior managers and directors, chief operating officers and IT specialists.

Although there are a number of publications covering records management generically, very few are focused on the specific challenges of particular sectors, and fewer still on current regulatory, legal and governance issues associated with managing records in global banking and finance businesses.

This timely book fills this gap by exploring these complex issues fully, and offers strategies and examples of best practice to meet the recordkeeping challenges to which they give rise in corporate and commercial banking enterprises operating in global capital markets. The examples and cases studies encompass recordkeeping in investment banking, asset management, brokerage and other financial services which serve global markets, and the book will be of particular significance to the financial sector. However, covering as it does the issues that arise from operating across borders and jurisdictions, it will also be of relevance to multi-national businesses in other sectors.

The key chapters cover:

• setting the scene: background and concepts
• regulatory and legal compliance
• common trends in financial services: balancing risk and return
• litigation-related issues
• recordkeeping approaches.

Whilst the expert team of authors are careful to ensure that the book reflects recognized records management principles, the accessible language used will assure its value to information professionals and others without a formal records management background.

Table of Contents

Introduction to the series - Geoffrey Yeo 1. Global financial markets - Victoria L. Lemieux, David Long and David Kemp PART 1: REGULATORY AND LEGAL COMPLIANCE 2. Conflicts of laws in multiple jurisdictions - Ed Sautter 3. Impact of the extrajurisdictional reach of the USA - Ed Sautter 4. Moves towards a common regulatory framework for financial services in the European Union - Jonathan Herbst and Simon Lovegrove 5. Data exchange and confidentiality: an Asia Pacific perspective - Julian Cunningham-Day and Marly Didizian 6. Information privacy in the USA - Regan Adams PART 2: BALANCING RISK AND RETURN 7. Managing records risks in global financial institutions - Victoria L. Lemieux and Ember D. Krumwied 8. The digital revolution and its impact - P. J. Di Giammarino 9. Mergers, acquisitions, divestitures and insolvencies - John Ramsey 10. Records management considerations in global strategic outsourcing - Victoria L. Lemieux PART 3: LITIGATION-RELATED ISSUES 11. Authenticity and evidential weight of digital evidence in legal proceedings - Stephen Mason 12. Discovery and records management - Christine Ardern PART 4: RECORD-KEEPING APPROACHES 13. Establishing a global policy framework for the management of records - Rod Stone 14 Embedding records management in the business - Judith Ellis 15 Corporate memory: the development and maintenance of an archival service - Tina Staples.

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