Managing Records in Global Financial Markets PDF Download
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Author: Lynn Coleman
Publisher: Facet Publishing
ISBN: 185604663X
Category : Business & Economics
Languages : en
Pages : 272
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Book Description
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 litigation-related issues recordkeeping approaches. Whilst the expert team of authors are careful to ensure that the book reflects recognized records management principles, the accessible language used will assure its value to information professionals and others without a formal records management background. Readership: This much-needed textbook will be essential reading for records managers, archivists and information professionals who manage records in the financial sector. It will also be invaluable for individuals engaged in a wide range of disciplines who rely on records to meet the increasing number of legal and regulatory obligations to which institutions engaged in global banking and finance are now subject. These include: compliance professionals, data protection officers, governance professionals, regulators and risk managers, senior managers and directors, chief operating officers and IT specialists.
Author: Lynn Coleman
Publisher: Facet Publishing
ISBN: 185604663X
Category : Business & Economics
Languages : en
Pages : 272
Get Book Here
Book Description
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 litigation-related issues recordkeeping approaches. Whilst the expert team of authors are careful to ensure that the book reflects recognized records management principles, the accessible language used will assure its value to information professionals and others without a formal records management background. Readership: This much-needed textbook will be essential reading for records managers, archivists and information professionals who manage records in the financial sector. It will also be invaluable for individuals engaged in a wide range of disciplines who rely on records to meet the increasing number of legal and regulatory obligations to which institutions engaged in global banking and finance are now subject. These include: compliance professionals, data protection officers, governance professionals, regulators and risk managers, senior managers and directors, chief operating officers and IT specialists.
Author: Keith Dickinson
Publisher: John Wiley & Sons
ISBN: 1118843908
Category : Business & Economics
Languages : en
Pages : 485
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Book Description
A comprehensive text on financial market operations management Financial Market Operations Management offers anyone involved with administering, maintaining, and improving the IT systems within financial institutions a comprehensive text that covers all the essential information for managing operations. Written by Keith Dickinson—an expert on the topic—the book is comprehensive, practical, and covers the five essential areas of operations and management including participation and infrastructure, trade life cycle, asset servicing, technology, and the regulatory environment. This comprehensive guide also covers the limitations and boundaries of operational systems and focuses on their interaction with external parties including clients, counterparties, exchanges, and more. This essential resource reviews the key aspects of operations management in detail, including an examination of the entire trade life cycle, new issue distribution of bonds and equities, securities financing, as well as corporate actions, accounting, and reconciliations. The author highlights specific operational processes and challenges and includes vital formulae, spreadsheet applications, and exhibits. Offers a comprehensive resource for operational staff in financial services Covers the key aspects of operations management Highlights operational processes and challenges Includes an instructors manual, a test bank, and a solution manual This vital resource contains the information, processes, and illustrative examples needed for a clear understanding of financial market operations.
Author: Victoria Lemieux
Publisher: Springer Science & Business Media
ISBN: 3642322328
Category : Business & Economics
Languages : en
Pages : 215
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Book Description
The Global Financial Crisis and the Eurozone crisis that has followed have drawn attention to weaknesses in financial records, information and data. These weaknesses have led to operational risks in financial institutions, flawed bankruptcy and foreclosure proceedings following the Crisis, and inadequacies in financial supervisors’ access to records and information for the purposes of a prudential response. Research is needed to identify the practices that will provide the records, information and data needed to support more effective financial analysis and risk management. The unique contribution of this volume is in bringing together researchers in distinct domains that seldom interact to identify theoretical, technological, policy and practical issues related to the management of financial records, information and data. The book will, therefore, appeal to researchers or advanced practitioners in the field of finance and those with an interest in risk management, computer science, cognitive science, sociology, management information systems, information science, and archival science as applied to the financial domain.
Author: James Lowry
Publisher: Routledge
ISBN: 1317115120
Category : Language Arts & Disciplines
Languages : en
Pages : 279
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Book Description
As a celebration of Anne Thurston’s pioneering work on records and archives management as an essential basis for demonstrating integrity in government, this excellent volume brings together scholars and practicing archivists to discuss key issues around records as evidence for accountability, transparency and the protection of citizens’ rights. Never before have authors from the developing and developed worlds come together to explore the intersection of records management, public administration and international development. The book covers Thurston’s work, the importance of records management for effective governance and digital records management and preservation in developing countries. Case studies from across Africa enhance the theoretical and practical perspectives taken by the authors. This book is essential reading for scholars and students interested in records management and good governance around the world.
Author: Luciana Duranti
Publisher: Facet Publishing
ISBN: 1783304022
Category : Language Arts & Disciplines
Languages : en
Pages : 328
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Book Description
Published in association with the Society of American Archivists Trusting Records in the Cloud presents key findings of InterPARES Trust, an international research project that has investigated issues of trust in, and trustworthiness of records and data online, with respect to privacy, accessibility, portability, metadata and ownership. The project has produced theoretical and methodological frameworks for the development of local, national and international policies, procedures, regulations, standards and legislation, to ensure public trust grounded on evidence of good governance, strong digital economy and persistent digital memory. Topics include: - risks and remedies to the contracts the public must enter into with service providers - implementing retention and disposition schedules in the cloud - understanding the role of metadata in cloud services for chain of custody - rethinking issues of appraisal, arrangement and description - preservation as a series of services implementable by a variety of preservation actors - information governance, risk management, and authentication practices and technologies. This book is essential reading for records and archives managers, information professionals and organizations that are using or intend to use the cloud for the creation, management and preservation of their information; records and archives students and educators; individuals working in the academic, government and private sectors, and members of the public concerned about their personal information in the cloud.
Author: Maria J. Grant
Publisher: Facet Publishing
ISBN: 1856047415
Category : Education
Languages : en
Pages : 257
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Book Description
This handbook provides library and information professionals with the information they need to undertake research projects in the workplace in order to inform their own practice and improve service delivery. Whether you are a complete novice or have experience of undertaking evaluations, audits or research, this book will guide you step-by-step through the key phases of planning, doing and disseminating research. The text is divided into three sections: • Part 1: Getting started introduces the concepts, ethics and planning stages. • Part 2: Doing research, evaluation and audit explores the fundamentals of projects, including the literature review, qualitative and quantitative research methods, data analysis and research tools. • Part 3: Impact of research, evaluation and audit guides you through writing up your project, putting the results of your project findings into practice and dissemination to the wider community. Written by academics and practitioners from a diverse range of sectors throughout the world, the book offers a thorough but common sense approach. Each chapter is structured to begin with a comprehensive introduction to a discrete topic area complemented with case studies drawn from a broad range of LIS contexts to illustrate the issues raised and provide transferable lessons to your own context. Whatever your experience, this book will support your project development and explain how evidence-based library and information practice is relevant to you. Readership: This is the essential handbook for any librarian or information professional who wants to undertake research in the workplace in order to inform their own practice and the wider evidence base for library and information science. It’s also a useful guide for undergraduate and postgraduate LIS students undertaking their final year research project.
Author: Geoffrey Yeo
Publisher:
ISBN: 9781783302260
Category : Archives
Languages : en
Pages : 208
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Book Description
This dynamic book considers whether and how the management of records (and archives) differs from the management of information (and data). Can archives and records management still make a distinctive contribution in the 21st century, or are they now being dissolved into a wider world of information governance? What should be our conceptual understanding of records in the digital era? What are the practical implications of the information revolution for the work of archivists and records managers? Geoffrey Yeo, a distinguished expert in the global field, explores concepts of 'records' and 'archives' and sets today's record-keeping and archival practices in their historical context. He examines changing perceptions of records management and archival work, and asks whether and how far understandings derived from the fields of information management and data administration can enhance our knowledge of how records function. He argues that concepts of information and data cannot provide a fully adequate basis for reflective professional thinking about records and that record-keeping practices still have distinct and important roles to play in contemporary society. This thought-provoking and timely book is primarily intended for records managers and archivists, but should also be of interest to professionals in a range of information-related disciplines. It aims to provide a balance of theory and practice that will appeal to practitioners as well as students and academics around the world.
Author: Patricia C. Franks
Publisher: American Library Association
ISBN: 1555709109
Category : Business & Economics
Languages : en
Pages : 426
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Book Description
Benefiting LIS students and professionals alike, Franks presents complete coverage of the records and information lifecycle model. Encompassing paper, electronic (databases, office suites, email), and new media records (blogs, wikis), as well as records residing in “the cloud” (software as a service), the text addresses a full range of topics, including The origins and development of records and information The discipline of information governance Creation/capture, classification, and file plan development Retention strategies Access, storage, and retrieval Electronic records and electronic records management systems Emerging technologies such as web records, social media, and mobile devices Vital records, disaster preparedness and recovery, and business continuity Monitoring, auditing, and risk management Inactive records management, archives, and long-term preservation Education and training Developing a strategic records management plan
Author: Laura A. Millar
Publisher: Facet Publishing
ISBN: 1783302062
Category : Language Arts & Disciplines
Languages : en
Pages : 352
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Book Description
This new and extensively revised second edition offers an international perspective on archives management, providing authoritative guidance relevant to collections-based repositories and to organizations responsible for managing their own institutional archives. Written in clear language with lively examples, Archives: Principles and practices introduces core archival concepts, explains best-practice approaches and discusses the central activities that archivists need to know to ensure the documentary materials in their charge are cared for as effectively as possible. Topics addressed include: core archival principles and conceptsarchival history and the evolution of archival theoriesthe nature and diversity of archival materials and institutionsthe responsibilities and duties of the archivistissues in the management of archival institutionsthe challenges of balancing access and privacy in archival servicebest practice principles and strategic approaches to central archival tasks such as acquisition, preservation, reference and accessdetailed comparison of custodial, fonds-oriented approaches and post-custodial, functional approaches to arrangement and description. Discussion of digital archives is woven throughout the book, including consideration of the changing role of the archivist in the digital age. In recasting her book to address the impact of digital technologies on records and archives, Millar offers us an archival manual for the twenty-first century. This book will be essential reading for archival practitioners, archival studies students and professors, librarians, museum curators, local authorities, small governments, public libraries, community museums, corporations, associations and other agencies with archival responsibility.
Author: Elizabeth Shepherd
Publisher: Facet Publishing
ISBN: 1856043703
Category : Language Arts & Disciplines
Languages : en
Pages : 331
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Book Description
Many organizations do not yet have a formal programme of records management, but increasingly they are recognizing the benefits of well managed records and the serious consequences of inadequate records systems. Establishing records management and maintaining an effective programme requires specialist expertise. This essential manual of practice provides a detailed guide to the concepts, skills and techniques of records management for organizational staff who have a responsibility for setting up, maintaining or restructuring a records management programme. It offers invaluable advice on the management of records in both electronic and traditional paper media, and focuses on the following areas: understanding records management analysing the context for records management classifying records and documenting their context creating and capturing records; managing appraisal, retention and disposition maintaining records and assuring their integrity providing access implementing records management. The appendices provide a wealth of additional information including a list of standards for records management, an annotated bibliography and sources of further information, and details of professional and advisory bodies. Readership: This much needed manual is an indispensable purchase for organizations wishing to introduce better practices for managing their records. The book is intended to be of value to experienced records managers as well as LIS practitioners and newcomers to the field. It should be on the desk of every manager and every information professional with responsibility for records management.
