Managing records in global financial markets : ensuring compliance and mitigating risk: English 2011

\'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 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