Managing Records in Global Financial Markets
Ensuring Compliance and Mitigating Risk
Edited by Lynn Coleman, Victoria L. Lemieux, Rod Stone and Geoffrey Yeo
ISBN: 9781856046633
Published: 2011
6 x 9 | 256 pp. | $125.00
"…this volume serves as a serious and competent introducation into this very specific and complicated area of records management…I would recommend this book to all records maangers in business and also to the higher education institutions providing any type of information studies."
Information Research, November 2011
This timely book fully explores current regulatory, legal, and governance issues associated with managing records in global banking and finance businesses. It offers strategies and examples of best practice to meet the recordkeeping challenges in corporate and commercial banking enterprises operating in global capital markets. Examples and cases studies encompass recordkeeping in investment banking, asset management, brokerage, and other financial services which serve global markets.
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
The book reflects recognized records management principles, and accessible language will assure its value to information professionals and others without a formal records management background.
This much-needed book 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. This includes compliance professionals, data protection officers, governance professionals, regulators and risk managers, senior managers and directors, chief operating officers, and IT specialists.
