Journal of Financial Compliance

2017 - 2025

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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

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