Journal of Financial Compliance

2017 - 2025

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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

Volume 5, issue 4, 2022

Editorial pp. 292-293

Mario Difiore

Can we keep up with the machines? Stronger and faster artificial intelligence systems require robust risk management practices pp. 294-306

Edward O'Keefe, Jules Carter, Sarah Byrne, Barbara Meeks, John Stoker‡ and Randal Shields

Perpetual know your customer: A new approach to addressing customer due diligence pp. 307-314

Hnery Balani

Taking an intelligence-led approach: How to improve understanding of financial crime threats through intelligence and analysis pp. 315-323

David Gilchrist

Data as sword and shield: How regulated entities in the banking and securities industries can utilise data analytics to improve compliance and manage enforcement risk pp. 324-334

Brian H. Montgomery and David Oliwenstein

A stakeholder-based taxonomy for managing regulatory compliance risk and aligning to business strategy pp. 335-349

David R. Parkatti

New Aml regulation: From ‘virtual currency’ to ‘crypto assets' — differentiation from tokenised financial instruments and potential concerns over the perceived end of pseudonymity in the crypto sector pp. 350-358

Stefan Tomanek and Ralph Rirsch

ESG/sustainable finance in securities lending pp. 359-369

Heiko Stuber and Jacob Gertel

Converting critical enterprise risks into a usable risk matrix pp. 370-377

Janice Powell

Volume 5, issue 3, 2022

Editorial pp. 196-197

Mario J. Difiore

How compliance leaders are driving efficiency and creating more effective compliance processes pp. 198-208

Stephen Pope

Assessing and managing UDAAP risk in the new regulatory environment pp. 209-217

Chris Lucas

The case for diversity, equality and inclusion pp. 218-227

Francis Janes and Richard H. Harvey

Moving to a perpetual KYC model: The benefits and the challenges pp. 228-236

Neil Isherwood

Three lines of defence — is it the right model? pp. 237-247

Donna Turner

Improvise, overcome and adapt your CMS to changing times pp. 248-256

Michael Berman

Market abuse: The new challenges further to ESMA’s technical advice to the European Commission on the review of the Market Abuse Regulation pp. 257-266

Stefano Sirtori

Financial crime compliance in professional services: Moving beyond the three lines of defence pp. 267-274

Catherine Vaughan

Developing living policy documents that optimise risk taking pp. 275-283

Laurent Robert

Volume 5, issue 2, 2021

Editorial pp. 100-101

Mario J. Difiore

What does it all meme? An exploration of meme stock litigation, regulatory scrutiny and defences for broker-dealers pp. 102-114

Susan Light, Michael J. Lohnes, Hannah O. Koesterer, Carrie M. Stickel and Conor Mcdonough

What is the role of governance and compliance in ESG investing? pp. 115-122

Beth Haddock and Carol Sirou

Takeaways from sanctions enforcement in 2020 and trends in 2021 pp. 123-133

Jodi Avergun, James Treanor and Shruti Chandhok

Challenges of competent authority’s AML/CFT risk assessments in practice: No common standard pp. 134-143

Garrett Dunker

Creating effective compliance oversight structures for investment advisers pp. 144-153

Michelle L. Jacko and Janice Powell

Real-life revolution: How compliance functions are leveraging innovation to become more aligned, efficient and tech-enabled pp. 154-161

Shelley Metz-Galloway and Lucy Pearman

Towards European electronic identity: A blueprint for a secure pan-European digital identity pp. 162-188

Eric Wagner, Matteo Mannino and Oliver Lauer

Volume 5, issue 1, 2021

Editorial pp. 4-5

Mario J. Difiore

Responsible and ethical use of emerging technology pp. 6-14

Srividhya Thiagarajan and Alethea O’Donnell

A guide for chief compliance officers of registered investment advisers on how to develop, conduct and maintain an effective and robust annual testing programme pp. 15-29

Elizabeth Cope

Enabling a holistic solution to London Interbank Offer Rate repapering pp. 30-44

Marcy Sharon Cohen, Christopher S. Schell, Sirisha Gummaregula and Jason Pugh

Know your data: Improving an anti-money laundering programme with dedicated data management pp. 45-54

Drew Galow and Sara Wright

Regulatory requirements, logistics and challenges of conducting an effective field audit programme pp. 55-65

Jim Hooks

Three core competencies for the modern general counsel pp. 66-74

Joseph Polizzotto

The state of state fiduciary laws for broker-dealers: Predicting the impact of state laws on SEC’s Regulation Best Interest enforcement pp. 75-84

Susan Schroeder

The forensic professional’s perspective on fraud and fraud detection pp. 85-93

Timothy P. Hedley and Richard H. Girgenti