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Managing Records in Global Financial Markets: Ensuring Compliance and Mitigating Risk [Pehme köide]

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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

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"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 "a must-have resource for experienced finance industry professionals working to advance their RIM/information governance programs to full maturity." -- Information Management "Managing Records in Global Financial Markets is a great resource chock-full of useful information" -- Randolph A Khan "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

Introduction to the series vii
Geoffrey Yeo
Contributors xi
Introduction xvii
List of abbreviations
xxxi
1 Global financial markets
1(14)
Victoria L. Lemieux
David Long
David Kemp
Part 1 Regulatory and legal compliance
15(74)
2 Conflicts of laws in multiple jurisdictions
17(16)
Ed Sautter
3 Impact of the extrajurisdictional reach of the USA
33(8)
Ed Sautter
4 Moves towards a common regulatory framework for financial services in the European Union
41(20)
Jonathan Herbst
Simon Lovegrove
5 Data exchange and confidentiality: an Asia Pacific perspective
61(16)
Julian Cunningham-Day
Marly Didizian
6 Information privacy in the USA
77(12)
Regan Adams
Part 2 Balancing risk and return
89(58)
7 Managing records risks in global financial institutions
91(16)
Victoria L. Lemieux
Ember D. Krumwied
8 The digital revolution and its impact
107(12)
P. J. Di Giammarino
9 Mergers, acquisitions, divestitures and insolvencies
119(14)
John Ramsey
10 Records management considerations in global strategic outsourcing
133(14)
Victoria L. Lemieux
Part 3 Litigation-related issues
147(32)
11 Authenticity and evidential weight of digital evidence in legal proceedings
149(16)
Stephen Mason
12 Discovery and records management
165(14)
Christine Ardem
Part 4 Record-keeping approaches
179(50)
13 Establishing a global policy framework for the management of records
181(18)
Rod Stone
14 Embedding records management in the business
199(18)
Judith Ellis
15 Corporate memory: the development and maintenance of an archival service
217(12)
Tina Staples
Index 229
Lynn Coleman was Regional Records Manager, Europe, Middle East & Africa for a global investment bank in London. She recently relocated to Australia where she undertakes records management projects. Victoria L. Lemieux is Director of the Centre for the Investigation of Financial Electronic Records and an assistant professor of archival studies at the University of British Columbia in Vancouver, Canada.

Rod Stone is Records Manager - Global Policy & Oversight at the Royal Bank of Scotland in London.

Geoffrey Yeo is an Archives and Records Management specialist at the Department of Information Studies, University College London.