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.

Item Number
Facet Publishing, UK

Primary tabs

You don't need to be an ALA Member to purchase from the ALA Store, but you'll be asked to create an online account/profile during the checkout to proceed. This Web Account is for both Members and non-Members. 

If you are Tax-Exempt, please verify that your account is currently set up as exempt before placing your order, as our new fulfillment center will need current documentation. Learn how to verify here.

  • Description
  • Table of Contents
  • About the authors
  • Reviews

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.



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 Sautter3. Impact of the extrajurisdictional reach of the USA - Ed Sautter4. Moves towards a common regulatory framework for financial services in the European Union - Jonathan Herbst and Simon Lovegrove5. Data exchange and confidentiality: an Asia Pacific perspective - Julian Cunningham-Day and Marly Didizian6. 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. Krumwied8. The digital revolution and its impact - P. J. Di Giammarino9. Mergers, acquisitions, divestitures and insolvencies - John Ramsey10. 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 Mason12. Discovery and records management - Christine Ardern PART 4: RECORD-KEEPING APPROACHES 13. Establishing a global policy framework for the management of records - Rod Stone14. Embedding records management in the business - Judith Ellis15. Corporate memory: the development and maintenance of an archival service - Tina Staples


Lynn Coleman

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.

Victoria L. Lemieux

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.

Rod Stone

Rod Stone is Records Manager - Global Policy and Oversight at the Royal Bank of Scotland in London.

Geoffrey Yeo

Geoffrey Yeo is an Archives and Records Management specialist at the Department of Information Studies, University College London.

"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