Managing Records in Global Financial Markets : Ensuring Compliance and Mitigating Risk PDF

Edited by Lynn Coleman, Victoria L. Lemieux, Rod Stone, Geoffrey Yeo

Part of the Principles and Practice in Records Management and Archives series

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Description

There are a number of publications covering records management generically, however 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.

"Records and information are the living history of how a financial institution steers its course in a brutally competitive market. This outstanding volume has achieved something important: the editors deliver a resource that provides reliable and trustworthy navigation through the diverse challenges of global banking and financial services and the rigour of specific national rules. Balanced, thorough, accessible - an essential tool for any professional."
- Jeffrey Ritter

"I would recommend this book to all records managers in business and also to the higher education institutions providing any type of information studies."
- Information Research

"...a must-have resource for experienced finance industry professionals working to advance their RIM/information governance programs to full maturity."
- Information Management