Journal of Financial Compliance

2017 - 2025

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Volume 8, issue 3, 2025

Editorial pp. 196-197

Mario J. Difiore

Compliance, technology and data risk: Electronic communications and the modernisation of data governance control structures pp. 198-214

Therese Craparo, Anthony J. Diana, Philip H. Thomas, Christian Leuthner, Samantha M. Walsh and Ryan J. Fitzpatrick

Can you hear us now? Deciphering regulators’ messaging around financial services companies’ electronic communications compliance pp. 215-232

Amy Jane Longo, Daniel O’Connor, Shannon Capone Kirk, Cole A. Goodman and Jake Barr

Six years of regulation and supervision of crypto-assets in Malta: The approach and lessons learned pp. 233-244

Christopher P. Buttigieg and Samantha Cuyle

Social media as a compliance risk for financial services: Exploring emerging risks and finding solutions to mitigate harm pp. 245-256

Robert Mason and Jennifer Clarke

Digital assets and tax transparency: Navigating the new US tax reporting regime pp. 257-270

Jill Dymtrow and Chris Saveri

Russian sanctions evasion pp. 271-284

Owais Arshad

Managing the intersection of export controls and economic sanctions: Implications for legal and compliance teams and best practises for strengthening cross-departmental coordination pp. 285-296

Graeme Hamilton, Rambod Behboodi and Nasra Moumin

Volume 8, issue 2, 2024

Editorial pp. 100-101

Mario J. Difiore

Are the old ways of transaction monitoring dead? pp. 102-111

Carrie Gilson

Identifying and addressing the risks of AI through regulations, compliance controls and technical design pp. 112-130

Sudhanshu Bahadur and Kuno Tucker

Keeping up with the regulators: How to build an effective compliance programme to satisfy the Best Interest care obligation pp. 131-143

Stephanie Nicolas and Joshua Nathanson

EMIR Refit implementation: Practical advice and considerations for trade reporting obligations pp. 144-153

Nik Volpe, Avinash Shamdasani and Kalyan Deshpande

Why depository institutions, with or without affiliated securities firms, can and should manage employee use of personal devices for work-related communications pp. 154-166

Richard H. Harvey, Michael J. Leotta and Gautam Sachdev

An AI adoption strategy for financial crime prevention pp. 167-180

Colin Whitmore

The ISO 37008 Internal investigation standard framework and what this means for financial services institutions pp. 181-192

Steve Young and Simon Scales

Volume 8, issue 1, 2024

Editorial pp. 4-5

Mario J. Difiore

Machine learning and compliance: A consumer-led approach pp. 6-18

Matthew Connell

Strengthening governance practices of TCSPs in the EU's smallest member state pp. 19-31

Christopher P. Buttigieg and Petra Camilleri

Is DORA the dawn of a new era for cybersecurity compliance in the EU's financial sector? pp. 32-42

Antonio Giannino, Francesca Valenti and Federico Sertori

How to maintain a strong compliance function in a remote/hybrid working environment, using ESG as both the objective and the driver pp. 43-53

Jessica Ramos, Ella Adler and Erietta Exarchopoulou

From data to decisions: How emerging technologies can enhance ESG assessments and reporting pp. 54-64

William Nelson

Risk-based customer due diligence is the key to effectively managing financial crime risk pp. 65-79

Ola Tucker

A consideration of the evolving role, visibility and prominence of compliance in strategic planning and protecting brand and reputation pp. 80-91

Catherine Vaughan

Volume 7, issue 4, 2024

Editorial pp. 300-301

Mario J. Difiore

The markets in crypto assets regulation: What should firms be doing now? pp. 302-327

James Ross and Giles Swan

From a ‘plain vanilla’ exercise to a highly complex compliance monitoring framework: Some practical challenges in investment compliance pp. 328-345

Vitali Schetle

Order and trade data analysis in recent spoofing investigations pp. 346-352

Greg Leonard, Marlene Haas and Oliver Pegden

Everything, everywhere, all at once: The impossible mission of compliance officers pp. 353-367

Natalie Mcmanus-Barnett and Olivier Goffard

Enhancing transparency in the beneficial ownership of legal entities and structures in Southern Africa: Challenges and suggested solutions pp. 368-385

Charles Goredema

Volume 7, issue 3, 2024

Editorial pp. 200-201

Mario J. Difiore

Intelligence-led analytics for anti-financial crime compliance pp. 202-221

Ashley Bostel

Internal investigations into regulatory misconduct: Key issues for individuals pp. 222-230

Francis Kean and Menelaos Karampetsos

Are firms getting the message? Record-keeping obligations related to off-channel messaging pp. 231-241

Kevin Spence

ESG and anti-financial crime: Two sides of the same coin? pp. 242-248

Diane Bugeja

The role of ethical leadership in resilient corporations pp. 249-255

Jorge Dajani and Marianne Rossert

Future state AML: Using advanced technology to reimagine transaction monitoring pp. 256-267

Chris Phillips

US economic sanctions targeting Latin America: Recent changes, developments and compliance challenges pp. 268-292

Cari N. Stinebower, Mariana Pendás Fernández and Daimiris Garcia

Volume 7, issue 2, 2023

Editorial pp. 104-105

Mario J. Difiore

Reviving securitisation in the EU: A critical analysis of the reporting requirements pp. 106-119

Olivia Hauet

Compliant marketing: Breaking down the New Marketing Rule pp. 120-139

Elizabeth Cope

Preparing for the implementation of EMIR REFIT pp. 140-147

Carolyn Jackson and Ciara Mcbrien

AML for a blockchain age pp. 148-159

Neal Christiansen, Valerie-Leila Jaber, Grant Rabenn and Melissa Strait

Unintended consequences of the risk-based approach? De-risking tendencies in anti-money laundering and countering the financing of terrorism compliance pp. 160-168

Astrid Satovich

How does hotline and incident management stack up in the financial services industry? An analysis of comparative metrics pp. 169-176

Carrie Penman

How counter extremism could improve financial institutions' counter terrorist financing controls pp. 177-188

Richard Wall

Expert networks, alternative data and managing risks of material non-public information pp. 189-194

James G. Lundy, Margaret Gembala Nelson and Bill Mccaughey

Volume 7, issue 1, 2023

Editorial pp. 5-6

Mario J. Difiore

Why and how to embrace entity resolution and contextual monitoring pp. 7-14

Aaron Wolf

The case for self-regulation for the digital assets industry pp. 15-34

Alma Angotti, Tracy Angulo, Gene Bolton and Gabriella Kusz

The resolution plan for insurers in France: Being prepared in case of a failure pp. 35-45

Frédéric Visnovsky

Best practices when handling whistleblower complaints pp. 46-52

Tracey Salmon-Smith, Sandra D. Grannum, Jesse Linebaugh and Vijayasri G. Aryama

The crypto frontier: How US policymakers and investment advisers can address digital assets pp. 53-63

William Nelson

Consumer protection and good customer outcomes in an evolving financial services ecosystem pp. 64-74

Donna Turner

Simplifying US state-level obligations to help achieve compliance certainty pp. 75-81

Kris Stewart and Elaine F. Duffus

Is employees' understanding of conduct risk aligned with values espoused in their employers' public statements? pp. 82-100

Alexander Culley