Journal of Financial Compliance

The leading journal for compliance professionals at financial institutions

Journal of Financial Compliance is the major journal publishing in-depth, peer-reviewed articles and case studies on how financial institutions can ensure the implementation of, and adherence to, regulatory requirements and effectively manage compliance and legal risk.

Guided by its expert Editor and a distinguished Editorial Board, each quarterly issue publishes in-depth articles and case studies on new thinking and best practice in financial compliance at banks, asset management companies, insurance companies, broker-dealers, credit unions, building societies and other financial institutions.

All the articles are peer-reviewed by JFC's Editor and Editorial Board to ensure they are authoritative, practical and relevant and each quarterly, 100-page issue showcases new thinking and best practice in compliance at a wide range of financial institutions to benchmark your organization against.

Journal of Financial Compliance is abstracted and indexed in the Research Papers in Economics (RePEc) database IDEAS

Written by compliance professionals, for compliance professionals, Journal of Financial Compliance publishes detailed articles, reviews and case studies on key topics including:

Designing and building integrated compliance, risk and governance systems and controls
Compliance risk assessment, management and mitigation
Updating written supervisory procedures
Capital, liquidity and funding regulation
Enforcement investigations, actions and sanctions
Developing and maintaining an effective compliance and ethics culture
The FinTech sector and its impact on regulation and compliance
AML and counter terrorist financing
Suspicious activity monitoring and reporting
Conducting compliance reviews, audits and investigations
Compliance technologies
Data privacy and data sharing
Insider trading and market abuse
Conduct risk, codes of conduct and codes of ethics
Regulatory rulemaking
Financial reporting and record keeping requirements
Cross border regulation
Preparing for and managing regulatory investigations and examinations
Fraud prevention, monitoring and detection
Anti-corruption and bribery
Building, recruiting, training and managing a compliance department
Effective programmes for whistleblowers and compliance related complaints

Journal of Financial Compliance is essential reading for Chief Compliance Officers, Chief Legal Officers, General Counsel and Departmental Heads, Managing Directors, Directors, EVPs, SVPs, VPs, Senior Managers, advisors and services providers in: