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.
Managing Records in Global Financial Markets: Ensuring Compliance and Mitigating Risk
Customers outside of North America (USA and Canada) should contact Facet Publishing for purchasing information.
- Table of Contents
- About the Authors
This timely book fully explores current regulatory, legal, and governance issues associated with managing records in global banking and finance businesses. It offers strategies and examples of best practice to meet the record-keeping challenges in corporate and commercial banking enterprises operating in global capital markets. Examples and cases studies encompass record-keeping in investment banking, asset management, brokerage, and other financial services which serve global markets.
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
Editors Coleman, Lemieux, Stone and Yeo outline and detail records management principles in accessible language assuring value to information professionals and others without a formal records management background.
"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, Founder, The Ritter Academy
"Managing Records in Global Financial Markets is a great resource chock-full of useful information."
--Randolph A. Kahn, award-winning author of Information Nation