Journal of Financial Compliance

2017 - 2025

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Volume 9, issue 2, 2025

Editorial pp. 108-109

Mario J. Difiore

Communications surveillance in financial institutions: What is new, what is changed and why it is still broken pp. 110-115

Alexander Aronov

The importance of governance in artificial intelligence and machine learning technology pp. 116-125

Stacey Chieng and Sourit Dasgupta

When traditional finance adopts crypto: Updating risk assessments and controls pp. 126-135

Meredith Fitzpatrick, Thomas Hyun, Sharon Hall and Arianna Radu

Third party risk management and M&A: What third party risks did you just buy? pp. 136-148

James P. Bergin, Beate Parra and Trevor Kirby

Managing unintended cultural implications of investigations pp. 149-156

Chantal Peters and James Chadwick

Adopting a holistic approach to regulatory change management: The rise of the end-to-end RegTech solution pp. 157-167

Susie Mackenzie

What are the key components of an effective methodology for conducting business-wide risk assessments for money laundering? pp. 168-183

Matt Russell

Ethical implications of artificial intelligence in financial compliance: Balancing innovation and responsibility pp. 184-198

Vikas Kulkarni

Advancing third party risk management through blockchain-based smart contracts: Impacts on assessment and management of money laundering in third party ecosystem pp. 199-207

Jessica Kim

Volume 9, issue 1, 2025

Editorial pp. 4-6

Mario J. Difiore

Financial compliance in the AI era: Overcoming risks and seizing opportunities pp. 7-16

Micaela Madureira

Putting the science in compliance: Using nonfinancial data to re-engineer compliance risk assessment pp. 17-31

Natalie Mcmanus-Barnett

Securing the future of the EU Digital Identity Wallet: Why we need corporate digital identity standards now pp. 32-39

Henry Balani

Reverse solicitation: Rules of the road and international enforcement trends pp. 40-59

Andrea Vianelli and Antonio Appon

Enhancements in the regulation of company service providers: A Maltese perspective pp. 60-70

Christopher P. Buttigieg and Alison Cortis

Navigating the path to GenAI for enterprise compliance pp. 71-79

Jas Randhawa, Jon Lo and Will Hayk Karapetyan

How the Russia/Ukraine experience will inform possible future sanctions strategies pp. 80-89

Neil Whiley

Navigating the UK’s new offence for failure to prevent fraud pp. 90-101

Ann Đoàn and Claire Lipworth

Volume 8, issue 4, 2025

Compliance in the crosshairs: Navigating complexity with clarity pp. 300-301

Dr Mario J. Difiore

Innovative approaches to GRC: Ensuring compliance during digital transformation pp. 302-316

Sabina Ausfelt

Sanctions and export control evasion techniques and practical steps to identify, assess and mitigate risk pp. 317-338

Andy Caines

The EU Anti-Money-Laundering Authority: A strategic roadmap pp. 339-347

Chistopher P. Buttigieg

Sustainable integration of frontier AI in banking: A framework for emissions accounting and regulatory alignment pp. 348-358

Nataliya Tkachenko

Deciding whether to settle or litigate enforcement actions pp. 359-364

Sara Raisner and Parul Bhatia

The challenges of wearing multiple hats: A compliance officer’s guide to successfully leading a small firm pp. 365-374

Steven D. Trigili

Bridging the gap: Policymakers, innovation and privacy in financial services AI pp. 375-388

William Nelson

Russia sanctions and circumvention: Fortifying global due diligence and screening in the face of evolving schemes pp. 389-398

Michael E. Zolandz and Shahrzad Noorbaloochi

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