Journal of Financial Compliance

2017 - 2025

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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

Volume 4, issue 4, 2021

Editorial pp. 296-297

Mario J. Difiore

Russia sanctions and considerations in building a sanctions compliance programme pp. 298-312

Cari Stinebower, Dainia Jabaji and Mariana Pendás-Fernandez

Building better transaction monitoring for anti-money laundering pp. 313-335

Ashley Bostel

Compliance education for the modern learner: Strategic use of videos pp. 336-343

Brendan Miller

Work smarter, not harder: Artificial intelligence’s critical role in mitigating financial crime risk pp. 344-352

Araliya Sammé

Leveraging human and financial resources to meet higher compliance expectations pp. 353-362

Dr Ilona Niemi

Challenges presented by AML in the areas of distribution, account opening and client relationships pp. 363-378

Vitali Schetle

Putting an end to snow-washing: The case for a publicly accessible corporate registry of beneficial owners in Canada pp. 379-390

James Cohen and Sasha Caldera

Volume 4, issue 3, 2021

Editorial pp. 200-201

Mario J. Difiore

Managing conduct risk during a pandemic pp. 202-209

Victoria Stubbs

Compliance lessons in recent Office of Foreign Assets Control enforcement pp. 210-221

Ben Hutten

The United Kingdom’s client assets regime: Problematic issues of threshold application pp. 222-231

Carl Fernandes and Kishore Bhindi

Cloud concentration risk: A framework agent-based model for systemic risk analysis pp. 232-256

Richard L. Harmon, Perukrishnen Vytelingum and Jiyan Babaie-Harmon

US sanctions enforcement focus on mergers and acquisitions pp. 257-266

F. Amanda Debusk and Jean Chang

Identifying and mitigating ‘conduct risk’ in algorithmic FICC trading pp. 267-281

Alexander Culley

Best practices in compliance training pp. 282-291

Lori Weston and Jennifer Hoopes

Volume 4, issue 2, 2020

Editorial pp. 100-101

Mario J. Difiore

An oversight framework to keep senior executives in control pp. 102-109

Richard Pike

Cross-border crosswalk: An overview of Canadian and US banking and consumer financial services regulators pp. 110-125

Suhuyini Abudulai, Xiaoling Ang, Eric Goldberg and Thomas Kearney

Increasing cybersecurity awareness and fluency for compliance risk management pp. 126-139

E.J. Yerzak and Michael Farrell

Applications of machine learning in the identification, measurement and mitigation of money laundering pp. 140-166

Nikhil Aggarwal, Sean Wareham and Rasmus Lehmann

The account review pp. 167-178

Duane E. Lee and Michael Daly

The legal and economic implications from recent UK spoofing cases pp. 179-193

Greg Leonard, Yan Cao, Marlene Haas and Gregory Mocek

Volume 4, issue 1, 2020

Editorial pp. 4-5

Mario J. Difiore

Managing material information around equity accelerated bookbuilding offering pp. 6-24

Lorena Bernardi

Benefits of aligning AML and ABC compliance pp. 25-33

Michelle Goodsir

Conduct risks and their mitigation in algorithmic trading firms: A systematic literature review pp. 34-52

Alexander Culley

Target quality review of internal risk models and how to inspect them pp. 53-75

Jörg Orgeldinger

Anti-bribery and corruption compliance in Nigeria pp. 76-82

Austin Mbadugha

Evolving regulation and the role of compliance since the 2008 financial crisis pp. 83-94

Kami Niebank and Justin Walker