Managing Records in Global Financial Markets

Aug 2011 | 272pp

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Managing Records in Global Financial Markets
Ensuring compliance and mitigating risk

Edited by Lynn Coleman, Victoria Lemieux, Rod Stone and Geoffrey Yeo

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.

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.

Introduction to the series - Geoffrey Yeo
1. Global financial markets - Victoria L. Lemieux, David Long and David Kemp


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


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


11. Authenticity and evidential weight of digital evidence in legal proceedings - Stephen Mason
12. Discovery and records management - Christine Ardern


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

"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

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.

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