Journal of Financial Compliance

2017 - 2025

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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

Volume 3, issue 4, 2020

Editorial pp. 292-293

Mario J. Difiore

Avoiding the floating rate cliff-edge: How asset management general counsels can tackle the LIBOR cessation challenge pp. 294-301

Jaime A. Madell

Regulation Best Interest: A new standard of conduct for broker-dealers in recommendations to retail customers pp. 302-317

Susan Light

Conduct risk in anti-money laundering: Implications of when financial institutions get it wrong pp. 318-324

Heather Allen

Resolution of banks: What kind of scenarios to enhance the credibility and the feasibility of resolution strategies pp. 325-331

Frédéric Visnovsky

The intersection of compliance and diversity: The interconnectedness of these two disciplines and the implications for the compliance profession pp. 332-339

Tina Stinson-Dacruz

Understanding the risks and challenges of shell companies in managing AML compliance pp. 340-358

Ola M. Tucker

Standards of competence for financial advisers: The poor relation in international and regional regulation pp. 359-367

Matthew Connell

Consumer protection framework in the Kenyan financial services sector: Current state, deficiencies, lessons from the world and possible solutions pp. 368-381

Halfan Mkiwa

Volume 3, issue 3, 2020

Editorial pp. 196-197

Mario J. Difiore

Embedding ethics in organisations and their operations: a dynamic approach pp. 198-207

Jorge Dajani and Bertrand Andre Rossert

Establishing sustainable risk reporting that unlocks trust and organisational value pp. 208-216

Tim Humphrey

Protecting data in 2020 and beyond: The role of blockchain technology and artificial intelligence in neutralising the growing threat of cybercrime pp. 217-224

Daniel Kornitzer

Using hotline data to build better board reports pp. 225-232

Carrie Penman and Andrew Burt

Ethics in artificial intelligence and machine learning: The importance of opening the dialogue for new processes at your organisation pp. 233-246

Colleen Dorsey

OFAC sanctions compliance: Insights from recent enforcement actions pp. 247-254

Ben Scott

The compliance and ethics officer of the future: What skills are necessary? pp. 255-261

John Krenitsky

The power of the US SEC whistleblower programme: What compliance and regulatory professionals should know pp. 262-272

Sean X. Mckessy

China’s macroprudential policies: Framework, implementations and implications pp. 273-285

Kerry Liu

Volume 3, issue 2, 2019

Editorial pp. 101-102

Mario J. Difiore

Financial industry compliance with Big Data and analytics pp. 103-117

Christina Mcglosson and Marco Enriquez

A practical approach to culture and conduct risk management pp. 118-137

James Ross

Reducing the regulatory burden: How can technology revolutionise compliance processes and make complying with multiple regulations more efficient? pp. 138-146

Deborah Traversa and Giacomo Toselli

Innovation through regulation: A comprehensive regulatory framework for blockchain-based services and products pp. 147-157

Antonio Giannino, Damiano Di Maio and Andrea Vianelli

The evolving role of compliance: How companies need to enforce their three lines of defence to protect the business pp. 158-170

Renata Hoes and Karin Gehlert

Building an effective US-UK sanctions compliance programme: What are the key components? pp. 171-180

Rita D. Mitchell, David Mortlock and Simon Osborn-King

Are financial institutions’ counter-terrorist financing controls fit for today’s challenges? pp. 181-191

Richard Wall

Volume 3, issue 1, 2019

Editorial pp. 5-6

Mario J. Difiore

Why financial institutions need a master data strategy as a starting point for a RegTech strategy pp. 7-12

Murat Abur and Sarah Murphy

Why are digital tools so pivotal in compliance? pp. 13-22

Søren Stenderup

Charging money laundering based upon a tax offence: No longer a bridge too far pp. 23-28

Ian M. Comisky

The AnaCredit regulation is in place — a reflection on data-driven reporting: What has been achieved by the banks and regulators, and what remains to be done? pp. 29-43

Olivia Hauet

Artificial intelligence for regulatory compliance: Are we there yet? pp. 44-59

Tom Butler and Leona O’Brien

How distributed ledger technology could solve regulatory problems pp. 60-66

Tom Spouse and Ben Green

Changing financial services firms’ behaviour through a duty of care pp. 67-75

Iris H.-Y. Chiu and Alan Brener

Implications of the African Union Special Declaration on Illicit Financial Flows for financial services infrastructure in Africa pp. 76-92

Charles Goredema