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Research and Publications

    • BRIEFING NOTE FOR THE DESIGN CONCEPT: CONTRACTS AND THE “RISK MAP”
    • The aim of this research is to design an interactive visual ‘Systemic Risk Map’ as one possible exploratory solution to address some of the issues encapsulated in a recent National Academy of Science Report titled Technical Capabilities Necessary for Systemic Risk Regulation: Summary of a Workshop, and related workshops. The main problem we seek to address is the human cognitive and organizational analytic limitations that make it challenging for the OFR to assess the meaning of heterogenous, uncertain and complex data in relation to signals of financial systemic risk across the system as a whole.  To overcome these limitations, we propose to design the Risk Map based on the principles of Cognitive Systems Engineering, an approach to designing in the context of complex systems. The Risk Map will incorporate two main ideas: (i) a map of the terrain of the financial systemic risk environment, which makes visible the constraints and boundaries of the system and (ii) a semantic mapping of the relevant relationships in, and key dimensions of, the terrain to appropriate visual geometries. Flood, Mendelowitz, and Nichols suggest that financial contracts possess several characteristics that make them very desirable as the basis of macroprudential oversight; thus, our approach will draw upon analysis of contract data in combination with other financial, economic and behavioural indicators. Our approach will also draw upon financial concepts in Brammertz, who identifies that when the value of financial contracts is realised at some point in the financial timeline the contracts will yield a value and liquidity which collectively can be expressed in terms of risk.  The Risk Map will enable the visualization of key dimensions of financial systemic risk, showing constraints and boundaries of the terrain and will represent areas of high risk, low risk, and places where activity is profitable and safe (e.g. enough liquidity to stabilize minor disruptions).

       

    • Managing Records in Global Financial Markets
    • This is the first book to cover the current regulatory, legal and governance issues associated with managing records in global banking and finance businesses.  Jeffrey Ritter, the founder of the online research and learning platform; The Ritter Academy, said, '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.' 

      Written by a team of international experts from business and academia, the book offers strategies and examples of best practice to meet the recordkeeping challenges faced by 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

      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.

      Randolph A. Khan, the award-winning author of Information Nation, said, 'Managing Records in Global Financial Markets is a great resource chock-full of useful information'.  This book 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.

       

      Managing Records in Global Financial Markets (August 2011; 256pp; paperback; 978-1-85604-663-3; £59.95) is published by Facet Publishing. It is available from Bookpoint Ltd, Mail Order Dept, 39 Milton Park, Abingdon, Oxon OX14 4TD | Tel: +44 (0)1235 827702 | Fax: +44 (0)1235 827703 | Email: | Web: www.facetpublishing.co.uk.  The book is available in the US and Canada from Neal-Schuman Publishers www.neal-schuman.com

    • Guidelines for Managing Records Created in the Investigative and Litigation Process
    • Figures from Victoria L. Lemieux and Jason R. Baron, "Overcoming the digital tsunami in e-discovery: is visual analysis the answer? Canadian Journal of Law and Technology (Spring/Summer 2011).
    • Data Loss Prevention
    • Slide deck presented to ARMA Vancouver meeting on the issue of data loss prevention.

    • Risk Management via Dynamic System Modellig
    • Slide deck presented to Boeing meeting on visual analyics which discusses CiFER's work on modeling the flows and retention of numerical and textual records within the Canadian Financial System.

    • Visual Analytics: Seeing the Big Picture
    • Whilte paper on the use of visual analytics in e-discovery