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

ISBN-13: 9781856046633 / Angielski / Miękka / 2011 / 272 str.

Opis

Although there are a number of publications covering records management generically, very few are focused on the specific challenges of particular sectors, & fewer still on current regulatory, legal & governance issues associated with managing records in global banking & finance businesses. This work examines this topic.

Spis treści

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