Journal of Financial Compliance

2017 - 2025

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Volume 2, issue 4, 2019

Editorial pp. 301-302

Unknown

IFR/IFD: Practical implications of a new prudential regime for principal trading firms pp. 303-317

Diederik Dorst

A new regulatory evolution: Cryptocurrency and the securities industry at the crossroads pp. 318-329

Alma Angotti, Adam Klauder and Karina Bjelland

Decoupling the investment firms’ prudential regime from credit institutions pp. 330-341

James Ross

AML/CFT and new technologies: Challenges in Japan pp. 342-361

Hiroshi Ozaki

Review of the EU prudential rules for investment firms: The practical implications for fund and asset management firms pp. 362-370

Agathi Pafili

How to effectively implement operational separation in an integrated financial services enterprise pp. 371-379

C Dirk Peterson

A primer in the European Commission’s proposed new prudential rules for investment firms pp. 380-387

Ian Kelly

Volume 2, issue 3, 2019

Editorial pp. 197-198

Mario J. Difiore

Crypto-assets: Commodities under European financial markets law? pp. 199-206

Ralph Rirsch and Stefan Tomanek

Governance and remuneration under the Investment Firm Regulation and Directive pp. 207-219

David Morrey and Anthony Ma

The human aspects of compliance pp. 220-231

Jessica Ramos Byrne

How to deal with multiple regulators in multiple jurisdictions pp. 232-252

Lloyd Meadows and Laura Shingler

The underwriting and placement passport and Brexit pp. 253-270

Adedayo Banwo

UDAAP controls for managing risk pp. 271-283

Barbara Boccia

Jay-Z thrusts SEC subpoena enforcement into the spotlight: A look at recent trends and considerations pp. 284-292

Daniel Nathan, Nicole Wredberg and William Heidepriem-Baird

Volume 2, issue 2, 2018

Editorial pp. 100-101

Mario J. Difiore

AML and business ethics: The Caribbean and Latin/South America pp. 102-110

Patricia Rodriguez-Autore

Investigating potential violations of law, responding to whistleblowers and mitigating associated ethical dilemmas pp. 111-120

Bradley J. Bondi, Paul T. Chryssikos and Michael D. Wheatley

Managing Russia sanctions pp. 121-131

Susan Leddy

AML/CFT and data privacy regulation: Achieving a peaceful co-existence pp. 132-141

Diane Bugeja

How the GDPR is influencing risk management pp. 142-147

Ebbe Negenman

The value of public-private partnerships for financial intelligence pp. 148-154

Simon Riondet

Compliance challenges in the world of elder financial exploitation pp. 155-164

Judith M. Shaw

The role of transaction monitoring in ongoing monitoring: AML compliance programmes in Canada pp. 165-175

Andrew Simpson

Socrates in the C-suite: The need for Socratic dialogue in corporate compliance pp. 176-183

Jonathan J. Rusch

An introduction to recent trends in terrorism financing pp. 184-190

Fabian M. Teichmann

Volume 2, issue 1, 2018

Editorial pp. 4-5

Unknown

Electronic communications monitoring, the broken windows theory and artificial intelligence pp. 6-12

German Florez

Effective reporting can support improved decision-making by directors and executives pp. 13-21

Ross Marrazzo

Financial crime compliance principles in the securities custody business pp. 22-36

Yannick Cherel, Olivier Goffard, Mark Gem and Marta González Pérez

Did that meeting discuss ‘inside information’? Insights from the USA and EU on when confidential information becomes material pp. 37-52

Carlo Milia

Stretching anti money laundering resources at smaller institutions pp. 53-59

Angela Mele

Uncertain times ahead for sanctions pp. 60-65

Daniel L. Tannebaum

Anti money laundering compliance and the new standards on beneficial ownership pp. 66-77

Brian Arrington

Bad apples, rotten barrels and rebuilding trust in financial markets pp. 78-90

Mark Yallop

Volume 1, issue 4, 2018

Editorial pp. 292-293

Unknown

Using complaints handling insight to enhance conduct risk assessment pp. 294-300

Sheraz Afzal

Analysing the role of technology in compliance and regulatory structures pp. 301-313

Gerard Fullarton

Detecting, investigating and preventing fraud: Can it truly be prevented? pp. 314-327

Mark Kaplan and Elin Cherry

Tipping the scales for insider-trading liability: The consequences of Martoma pp. 328-336

Alex Lipman and Olivia Gonzalez

Service provider due diligence: An overview pp. 337-344

Bart J. Mcdonald

Data protection, anti-money laundering and tax evasion: Seeking an equilibrium between public policy and fundamental rights pp. 345-356

Fabio Polverino

Navigating personal data rights in an increasingly digital and machine world pp. 357-363

Jeewon Kim Serrato, Marc Elzweig, Steven Lee and Andy Gandhi

Compliance with the owned entity and independent account controller exemptions under CFTC Rule 150.4 pp. 364-372

Carolyn Jackson

AUSTRAC v Tabcorp: A case study in enforcement action by Australia’s financial crime regulator pp. 373-380

Ben Scott

Volume 1, issue 3, 2017

Editorial pp. 192-193

Unknown

Courts as gatekeepers: The perils of defending against whistleblower retaliation suits pp. 194-202

Robert G. Houck and Benjamin A. Berringer

Reporting as an SYSC issue: Establishing governance maps for transaction reporting pp. 203-212

Adedayo Banwo

Interaction of RegTech with EU privacy, AML and payments regimes pp. 213-226

John Karantzis

Kenya’s deficiencies in its anti-money laundering/counter-terrorist financing framework: An analysis and possible solutions pp. 227-236

Halfan Mkiwa

Internal audit: Raising the bar in auditing financial crime risk pp. 237-244

Samar Pratt and Erika Peters

What faster payments means for anti-money laundering compliance pp. 245-254

Henry Balani

Managing correspondent banking ML/TF risks: Recent regulatory developments on the risk-based approach model pp. 255-266

Jan-Gerrit Iken and Alejandro Agudelo

Challenges in implementing the ‘Fifth Pillar’ pp. 267-275

Robert Molloy

Behavioural patterns in rogue trading: Applying control balance theory to the rogue traders Nick Leeson, Jérôme Kerviel and Kweku Adoboli — Part 2 pp. 276-284

Hagen Rafeld, Sebastian G. Fritz-Morgenthal and Peter N. Posch

Volume 1, issue 2, 2017

Editorial pp. 100-101

Unknown

Dealing with politically exposed persons: Navigating the changing regulatory environment pp. 102-111

Susannah Cogman and Elizabeth Head

Investigations by multilateral development banks: How to manage risks, responses and expectations pp. 112-122

Chiawen Kiew

Why the DNA of beneficial owners prevent companies from self-submitting beneficial ownership information pp. 123-136

Anders A. L. Rodenberg

Personal liability: What compliance professionals need to know pp. 137-146

Polly Greenberg

Compliance meets human resources: Monitoring competence and integrity pp. 147-155

Matthew Connell

Behavioural patterns in rogue trading: Analysing the cases of Nick Leeson, Jérôme Kerviel and Kweku Adoboli — Part 1 pp. 156-171

Hagen Rafeld, Sebastian Fritz-Morgenthal and Peter N. Posch

The position of individuals in regulatory investigations: A changing landscape pp. 172-182

Guy Wilkes and Francis Kean

Volume 1, issue 1, 2017

Editorial pp. 4-5

Unknown

A culture of learning: Reinforcing a firm’s values, ethics and culture through building a learning environment in compliance pp. 7-16

Michael Roemer and Mark Buckle

Predictive analytics in fraud and AML pp. 17-26

Clinton Mills

Man versus machine: Balancing automation and manual reviews to strengthen risk monitoring pp. 27-36

Matthew Mclaughlin

Risk impact is in the eye of the beholder: The difficulties faced by the regulator in an offshore financial centre pp. 37-45

Paul Coleman

AML professionals and frontline staff: Bridging the divide pp. 46-55

Heather Allen and Anne Archer

Implementing ethical culture across the Australian financial landscape pp. 56-63

Richard Brandweiner and Susan Morey

An intelligence led approach to addressing cyber fraud: Proactive fraud auditing pp. 64-71

Elizabeth Petrie

The new era of anti-financial crime compliance pp. 72-80

Marios M. Skandalis

Senior management training, accountability and oversight for anti-money laundering compliance pp. 81-88

Zachary C. Miller and Lauren Kohr

Ensuring good governance throughout the product life-cycle: A financial planner’s view pp. 89-94

Nick Bamford