Managing records in global financial markets : ensuring compliance and mitigating risk / edited by Lynn Coleman [and others].

Format:

Book

Author/Creator:

Coleman, Lynn, author.

Series:

Principles and practice in records management and archives.

Principles and practice in records management and archives

Language:

English

Subjects (All):

Financial services industry.

Records--Management.

Records.

Physical Description:

1 online resource (xxxii, 239 pages) : digital, PDF file(s).

Place of Publication:

London : Facet, 2011.

Language Note:

English

Summary:

Although there are a number of publications covering records management generically, very few are focused on the challenges for business, and global business in particular, and fewer still on regulatory, legal and governance issues associated with managing records in the global banking and financial sector. This book fills the gap by exploring these complex issues and offers strategies and frameworks to meet the record-keeping challenges to which they give rise in investment banking and other global financial services. While the book focuses on the financial sector, it will also be of relevance to multinational businesses in other sectors, covering as it does the issues that arise from operating across borders and in different jurisdictions. The book is divided into four main parts which cover: regulatory and legal compliance, balancing risk and return, litigation-related issues, and record-keeping approaches. Expert contributors to the book come from Europe, North America and Australasia and include legal, regulatory and technology specialists as well as records managers and archivists. Whilst 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. This 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 in a wide range of disciplines who rely on records, and their effective management, to meet the increasing number of legal and regulatory obligations to which financial institutions and global businesses are now subject. These include compliance professionals, privacy and data protection officers, risk managers and IT specialists, together with the senior managers, directors and chief operating officers who have ultimate accountability for ensuring compliance and mitigating risk.

Contents:

Global financial markets / Victoria L. Lemieux, David Long, David Kemp

Conflicts of laws in multiple jurisdictions / Ed Sautter

Impact of the extrajurisdictional reach of the USA / Ed Sautter

Moves towards a common regulatory framework for financial services in the European Union / Jonathan Herbst, Simon Lovegrove

Data exchange and confidentiality : an Asia Pacific perspective / Julian Cunningham-Dey, Marly Didizian

Information privacy in the USA / Regan Adams

Managing records risks in global financial institutions / Victoria L. Lemieux, Ember D. Krumwied

The digital revolution and its impact / P.J. Di Giammarino

Mergers, acquisitions, divestitures and insolvencies / John Ramsey

Records management considerations in global strategic outsourcing / Victoria L. Lemieux

Authenticity and evidential weight of digital evidence in legal proceedings / Stephen Mason

Discovery and records management / Christine Ardern

Establishing a global policy framework for the management of records / Rod Stone

Embedding records management in the business / Judith Ellis

Corporate memory : the development and maintenance of an archival service / Tina Staples.

Notes:

Title from publisher's bibliographic system (viewed on 05 Jul 2018).

Includes bibliographical references and index.

ISBN:

9781856049177

1856049175

OCLC:

836874504