Managing records in global financial markets ensuring compliance and mitigating risk

• Other Authors: Coleman, Lynn (Editor), Lemieuz, Victoria L. (Editor), Stone, Rod (Editor), Yeo, Geoffrey (Editor)
• Format: Book
• Language: English
• Published: London Facet 2011
• Series: Principles and practice in records management and archives
• Subjects: Business records > Management; Business records > Law and legislation; Financial services industry > Risk management; International business enterprises > Management
• Online Access: Click Here to View Status and Holdings.
• Physical Description: xxxii, 239 pages illustrations 24 cm
• Bibliography: Includes bibliographical references and index
• ISBN: 9781856046633

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 recordkeeping challenges in corporate and commercial banking enterprises operating in global capital markets. Examples and cases studies encompass recordkeeping 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 The book reflects recognized records management principles, and accessible language will assure its value to information professionals and others without a formal records management background.