학술논문
Ensuring efficiency and compliance in records management
Document Type
Journal Article
Author
Source
C.M. 2008, Feb, 10-12
Subject
Language
English
ISSN
0953-9239
Abstract
Explains how firms can ensure that their records management complies with Directive 2004/39 (MiFID). Considers the categories of document which must be retained and the appropriate retention periods, noting the Financial Services Authority's Treating Customers Fairly regime for transactions of private investors. Emphasises the need to undertake a structured approach to reviewing existing records management practices.