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Principles and Practice in Records Management and Archives

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




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

Introduction to the series - Geoffrey Yeo 1. Global financial markets - Victoria L. Lemieux, David Long and David Kemp PART 1: REGULATORY AND LEGAL COMPLIANCE 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 PART 2: BALANCING RISK AND RETURN 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 PART 3: LITIGATION-RELATED ISSUES 11. Authenticity and evidential weight of digital evidence in legal proceedings - Stephen Mason 12. Discovery and records management - Christine Ardern PART 4: RECORD-KEEPING APPROACHES 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.

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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