For those of you in Financial Services firms who have not seen this
posting yet:
I am benchmarking the use by financial services firms of outside
entities to acquire and update regulatory requirements. If you work in
a financial services firm, I'd greatly appreciate your response to the
following few short questions. I'll aggregate the responses
(anonymously) and post them to the list. Please respond directly to me
at [log in to unmask] If, you feel more comfortable
calling with the answers, please do so (646-366-4568).
1. Type of Financial Services Firm: Bank; Investment Bank; Broker
Dealer, Insurance Company, Private Equity Firm, Hedge Fund, Other (All
that apply).
2. Does your firm acquire regulatory requirements (citations with
requirements) for record-keeping/retention from outside entities or
services (e.g., law firms, records management consulting firms). Note:
You needn't mention the name(s) of the providers.
Y, N
If Y, from:
A. Law Firm(s) Y, N
B. Records Management Consulting Firm(s) Y, N.
If Y - Does the Records Management Consulting firm utilize the
service of an attorney or paralegal to research the regulatory
requirements? Y, N
C. Other type(s) of providers Y, N
If Y - What type?
3. Additional types of outside services received related to records
(e.g., advice for applying citations to specific records)
5. Locations/Jurisdictions covered by the above services: US/AMERICAS,
EMEA, ASIA (All that apply; If you have different approaches in the
different locations, please explain).
6. Rationale for your approach in 2-5 above?
7. Additional Comments?
Thank you very much,
Susan
Susan K. Goodman, MLS, CRM
Principal, GM/GIB Records Management Director
Banc of America Securities
GM/GIB Business Risk Governance and Control
50 Rockefeller Plaza, 6th Fl, NY, NY 10020
Phone: 646-366-4568
Fax: 646-366-4881
Cell: 917-225-9483
Mail Code: NY1-050-06-03
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