"In the age of information overload, it is refreshing to have a publication whose primary purpose is to serve and educate its readership. A publication that is governed by the people in the industry is always the most compelling and the quality of experience leveraged and information gathered is immediately evident. This journal serves as an industry standard for excellence in reporting on the many facets of our profession, as well as showing where it is going."
Volume 1 (2017-18)
Each volume of Journal of Financial Compliance consists of four quarterly 100-page issues. The articles and case studies published in Volume 1 - still available - are:
Volume 1 Number 4 (Spring 2018)
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Editorial
Mario DiFiore, Editor, Journal of Financial Compliance -
Using complaints handling insight to enhance conduct risk assessment
Sheraz Afzal, Director of Conduct Risk and Regulatory Affairs, Dollar UK -
Analysing the role of technology in compliance and regulatory structures
Gerard Fullarton, Risk and Compliance Manager, IFM Investors -
Detecting, investigating and preventing fraud: Can it truly be prevented?
Mark Kaplan, Global Chief Operating Officer and Elin Cherry, Chief Executive Officer, Elinphant -
Tipping the scales for insider-trading liability: The consequences of Martoma
Alex Lipman, Partner and Olivia Gonzalez, Associate, Brown Rudnick -
Service provider due diligence: An overview
Bart J. McDonald, Executive Vice President and Chief Operating Officer, Renaissance Regulatory Services -
Data protection, anti-money laundering and tax evasion: Seeking an equilibrium between public policy and fundamental rights
Fabio Polverino, Legal Officer, European Data Protection Supervisor -
Navigating personal data rights in an increasingly digital and machine world
Jeewon Kim Serrato, Head, Global Privacy & Data Protection Group, Marc Elzweig, Associate, Shearman & Sterling, Steven Lee, Managing Director and Andy Gandhi, Managing Director, Alvarez & Marsal -
Compliance with the owned entity and independent account controller exemptions under CFTC Rule 150.4
Carolyn H. Jackson, Partner, Katten Muchin Rosenman -
AUSTRAC v Tabcorp: A case study in enforcement action by Australia’s financial crime regulator
Ben Scott, Manager, Sanctions Analytics
Volume 1 Number 3 (Winter 2017)
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Editorial
Mario DiFiore, Editor, Journal of Financial Compliance -
Courts as gatekeepers: The perils of defending against whistleblower retaliation suits
Robert G. Houck, Partner and Benjamin A. Berringer, Associate, Clifford Chance -
Reporting as an SYSC issue: Establishing governance maps for transaction reporting
Adedayo Banwo, Senior Counsel -
Interaction of RegTech with EU privacy, AML and payments regimes
John Karantzis, Founder and Managing Director/CEO, iSignthis -
Kenya’s deficiencies in its anti-money laundering/counter-terrorist financing framework: An analysis and possible solutions
Halfan Mkiwa, Group Head, Compliance, UAP Old Mutual Group -
Internal audit: Raising the bar in auditing financial crime risk
Samar Pratt, Managing Director and Erika Peters, Director, Exiger -
What faster payments means for anti-money laundering compliance
Henry Balani, Global Head of Strategic Affairs, Accuity -
Managing correspondent banking ML/TF risks: Recent regulatory developments on the risk-based approach model
Jan-Gerrit Iken, Global Head of Financial Crime, AML and Sanctions and Alejandro Agudelo, VP, Global Standards, Anti-Money Laundering Department, Commerzbank -
Challenges in implementing the ‘5th pillar’
Robert Molloy, Chief Anti-Money Laundering Officer, Raymond James -
Applying control balance theory to the rogue traders Nick Leeson, Jérôme Kerviel and Kweku Adoboli — Part 2
Hagen Rafeld, Vice President, Divisional Control Office of the Global Markets Division, Sebastian Fritz-Morgenthal, Expert Principal, Bain & Company, Peter N. Posch, Finance Chair, TU Dortmund University
Volume 1 Number 2 (Autumn 2017)
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Editorial
Mario DiFiore, Editor, Journal of Financial Compliance -
Compliance meets human resources: Monitoring competence and integrity
Matthew Connell, Director of Policy and Public Relations, Chartered Insurance Institute -
Dealing with politically exposed persons: Navigating the changing regulatory environment
Susannah Cogman, Partner and Elizabeth Head, Senior Associate, Herbert Smith Freehills -
Personal Liability: What compliance professionals need to know
Polly Greenberg, Managing Director, Duff & Phelps -
Investigations by multilateral development banks: How to manage risks, responses and expectations
Chiawen Kiew, Principal Investigations Manager, European Bank for Reconstruction and Development -
Behavioural patterns in rogue trading: Analysing the cases of Nick Leeson, Jérome Kerviel and Kweku Adoboli
Hagen Rafeld, Vice President, Divisional Control Office of the Global Markets Division, Sebastian Fritz-Morgenthal, Expert Principal, Bain & Company, Peter N. Posch, Finance Chair, TU Dortmund University -
Why the DNA of beneficial owners prevent companies from self-submitting beneficial ownership information
Anders A. L. Rodenberg, Head of Financial Institutions & Advisory in North America, Bureau van Dijk -
The position of individuals in regulatory investigations: A changing landscape
Guy Wilkes, Partner, Financial Services Regulatory and Enforcement, Mayer Brown International and Francis Kean, Executive Director, FINEX Global, Willis Towers Watson
Volume 1 Number 1 (Summer 2017)
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Editorial
Mario DiFiore, Editor, Journal of Financial Compliance -
A culture of learning: Reinforcing a firm’s values, ethics and culture through building a learning environment in compliance
Michael Roemer, Head of Compliance, Mark Buckle, Head of Learning for Compliance, Barclays -
Predictive analytics in fraud and AML
Clinton Mills, Managing Director, GBG DecTech -
Man vs machine: Balancing automation and manual reviews to strengthen risk monitoring
Matthew McLaughlin, Director, Global Investigations, AFEX -
Risk impact is in the eye of the beholder: Difficulties faced by the Regulator in an offshore financial centre
Paul Coleman, Head of Compliance Unit, Turks and Caicos Islands Financial Services Commission -
AML professionals and frontline staff: Bridging the divide
Heather A. Allen, First Vice President, BSA Officer, Peoples Bank NC and Anne Archer, BSA/AML Officer and Manager, Xenith Bank -
Implementing ethical culture across the Australian financial landscape
Richard Brandweiner, Partner, Leapfrog Investments and Sue Morey, Head of Advocacy, CFA Societies Australia and CFA Society New Zealand, -
An intelligence-led approach to addressing cyber fraud: Proactive fraud auditing
Elizabeth Petrie, Director of Strategic Intelligence, Citi and Casey D. Evans, Executive-in-Residence, Accounting and Taxation Department, Kogod School of Business, American University -
The new era of anti-financial crime compliance
Marios M. Skandalis, Director, Group Compliance Division, Bank of Cyprus Group -
Senior management training, accountability and oversight for anti-money laundering compliance
Zachary C. Miller, Vice President/BSA Officer, Mid Penn Bank and Lauren Kohr, Senior Manager, Pentagon Federal Credit Union -
Ensuring good governance throughout the product life-cycle: A financial planner’s view
Nick Bamford, Executive Director, Informed Choice