Journal of Financial Compliance

2017 - 2025

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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

Volume 6, issue 4, 2023

Editorial pp. 296-297

Mario J. Difiore

Challenges of sanctions lists screening and the impact of sanctions triggered by conflict zones pp. 298-309

Szilvia Andriasik

Driving a strong risk culture and managing conduct risk pp. 310-320

Cara Williams

Designing technology systems to detect and prevent financial crime pp. 321-332

Jas Randhawa and Suraj Swaminathan

Economic sanctions on the rise: The ever-increasing importance of sanctions screening in a compliance programme pp. 333-345

Amir Fadavi

Operation Spring: How Swedish authorities took out Sweden's biggest narco bank pp. 346-356

Magnus Sohlén

The ongoing challenge of conduct risk management pp. 357-367

Rocky Hirst

Understanding the human factor in financial crime compliance pp. 368-384

Gizem Tansu

Strengthening US financial institutions' sanctions compliance through better data and continuous monitoring pp. 385-391

Jim Dinkins

Volume 6, issue 3, 2023

Editorial pp. 196-197

Mario J. Difiore

China's cross-border data sharing requirements: Compliance challenges for global institutions pp. 198-212

Eugenie Shen and Alex Roberts

ESG ratings: How to undertake a proactive review to minimise any hidden fraud and corruption and improve a company's governance rating pp. 213-221

Duncan Smith

It’s not the algorithm, it’s the ethics pp. 222-231

Gary Shiffman and Christopher Wall

The synergy between the UK senior manager regime area of ‘reasonable steps’ and diversity and inclusion pp. 232-239

Ramita Dhillon

Getting controls under control pp. 240-247

Jamila Piracci and Christopher Beckmann

Potential applications of emerging technologies to anti-money laundering compliance programmes pp. 248-258

Barrie Vanbrackle, Parag Patel and Victor Razon

Keys to a successful compliance testing programme pp. 259-266

Ellen Rose

Action–reaction: US financial regulation meets ESG considerations pp. 267-280

Jeffrey P. Naimon, Caroline M. Stapleton and Benjamin M. Litchfield

Navigating state data privacy laws: A guide for SEC-registered investment advisers pp. 281-290

William Nelson

Volume 6, issue 2, 2023

Editorial pp. 101-102

Mario J. Difiore

AI model risk: What the current model risk management framework can teach us about managing the risks of AI models pp. 103-112

Catarina Souza

Combatting market abuse within algorithmic trading in the financial and physical markets pp. 113-122

Jerry De Leeuw

Application of the Certified Persons Regime: Evolving best practice and potential pitfalls pp. 123-128

Louise Gowland

UK MiFIR transaction reporting: Fundamental, crucial, a common good — but typically wrong pp. 129-137

Charlotte Longman

The use of RegTech in fighting financial crime pp. 138-147

Igor Sumkovski

Pan-European regimes: A pathway to mitigate lack of trust and complexity in insurance pp. 148-157

Ana Teresa Moutinho and Andres Lehtmets

Does decentralised finance equal deregulated finance? pp. 158-172

Daniel J. Davis and Sheehan H. Band

International regulatory and oversight trends in financial consumer protection: What can be gleaned from the UK, Portuguese, Irish and Canadian experiences? pp. 173-186

Lucie Tedesco

`Trading at the Speed of Light: How Ultrafast Algorithms Are Transforming Financial Markets` by Alexander Culley pp. 187-190

Alexander Culley

Volume 6, issue 1, 2022

Editorial pp. 4-5

Mario J. Difiore

Managing trade and communications surveillance in the new world of work pp. 6-16

Yasmine Li

Can implementing classic management theories in the KYC process help achieve high regulatory compliance? pp. 17-29

Sabina Ausfelt

Preventing and addressing AML/CFT risks of digital finance: The European regulatory and supervisory perspective pp. 30-39

Joana Neto

How can misconduct behaviours and abuse of position be better identified, and what are the drivers for committing fraud and theft? pp. 40-48

Tracey Carpenter

Data risks and security in the financial sector: Adapting to a new environment pp. 49-56

Claudia Guagliano and Alexander Harris

The regulatory leap into big data and machine learning: Practical advice for compliance officers pp. 57-70

Bo Howell

The effect of organisational leaders on employee voice and employee silence pp. 71-79

Manon De Zwart-Van Der Ham and Marjo Van Den Broek

Adopting RegTech: A practical guide pp. 80-94

Harpreet Singh