Volume 2 (2018-19)

Each volume of Journal of Financial Compliance consists of four quarterly 100-page issues. The articles and case studies confirmed for publication in Volume 2 are:

Volume 2 Number 4 (Summer 2019)

  • Editorial
  • IFR/IFD: Practical implications of a new prudential regime for principal trading firms
    Diederik Dorst, Global Head of Regulation and Market Structure, Flow Traders
  • A new regulatory evolution: Cryptocurrency and the securities industry at the crossroads
    Alma Angotti, Managing Director and Co-Head, Adam Klauder, Senior Director and Karina Bjelland Managing Consultant, Navigant Consulting Global Investigations and Compliance Practice
  • Decoupling the investment firms’ prudential regime from credit institutions
    James Ross, Head of Regulatory Developments, EMEA, Columbia Threadneedle Investments
  • AML/CFT and new technologies: Challenges in Japan
    Hiroshi Ozaki, Director, AML/CFT Policy Office, Financial Services Agency, Japan (JFSA)
  • Review of the EU prudential rules for investment firms: The practical implications for fund and asset management firms
    Agathi Pafili, Senior Policy Adviser, European Fund and Asset Management Association (EFAMA)
  • How to effectively implement operational separation in an integrated financial services enterprise
    Dirk Peterson, Partner, K&L Gates
  • A primer in the European Commission’s proposed new prudential rules for investment firms
    Ian Kelly, Head of Regulatory Advisory, Europe, Royal Bank of Canada (RBC)

Volume 2 Number 3 (Spring 2019)

  • Crypto-assets: Commodities under European financial markets law?
    Ralph Rirsch, Supervisor, Integrated Conduct Supervision of Banks and Stefan Tomanek, Legal Expert, Prudential Supervision Asset Management and Captial Market Prospectus, Austrian FMA
  • Governance and remuneration under the Investment Firm Regulation and Directive
    David Morrey, Partner and Anthony Ma, Associate Director, Head of Prudential Assurance, Financial Services, Grant Thornton UK
  • The human aspects of compliance
    Jessica Ramos Byrne, Senior Regulatory and Oversight Affairs Expert, EBA Clearing
  • How to deal with multiple regulators in multiple jurisdictions
    Lloyd Meadows, Sanctions Advisory, Financial Crime Compliance, Standard Chartered Bank and Laura Shingler, Senior Associate, Corporate Crime and Investigations Team, Eversheds Sutherland
  • The underwriting and placement passport and Brexit
    Adedayo Banwo, Attorney, CLS Group; Co-Chair, ABA Task Force on Financial Engineering for Economic Development
  • UDAAP controls for managing risk
    Barbara Boccia, Senior Director, Wolters Kluwer
  • Jay-Z thrusts SEC subpoena enforcement into the spotlight: A look at recent trends and considerations
    Daniel Nathan, Partner, Nicole Wredberg, Associate, White Collar Investigations, Securities Litigation & Compliance Group, Orrick, Herrington & Sutcliffe and William Heidepriem-Baird, University of Virginia School of Law

Volume 2 Number 2 (Autumn/Fall 2018)

  • Editorial
    Mario DiFiore, Editor, Journal of Financial Compliance
  • AML and business ethics: The Caribbean and Latin/South America
    Patricia Rodriguez-Autore, Senior Vice President of Deposit Compliance, BSA Officer, Congressional Bank
  • Investigating potential violations of law, responding to whistle-blowers and mitigating associated ethical dilemmas
    Bradley J. Bondi, Senior Partner, Cahill Gordon & Reindel, Paul T. Chryssikos, Vice President and Chief Counsel for Annuities and Michael D. Wheatley, Vice President, Regulatory Counsel, Lincoln Financial Group
  • Managing Russia sanctions
    Susan Leddy, Senior Legal Counsel, Swiss Re
  • AML/CFT and data privacy regulation: Achieving a peaceful co-existence
    Diane Bugeja, Senior Associate, Corporate & Finance Practice Group, Camilleri Preziosi
  • How the GDPR is influencing risk management
    Ebbe Negenman, Chief Risk Officer, AEGON Bank
  • The value of public-private partnerships for financial intelligence
    Simon Riondet, Head of Financial Intelligence, Europol
  • Compliance challenges in the world of elder financial exploitation
    Judith M. Shaw, Administrator, Maine Office of Securities
  • AML compliance programmes in Canada
    Andrew Simpson, Chief Operating Officer, CaseWare Analytics
  • Socrates in the C-suite: The need for Socratic dialogue in corporate compliance
    Jonathan J. Rusch, Adjunct Professor, Georgetown University Law Center
  • An introduction to recent trends in terrorism financing
    Fabian M. Teichmann, Chair of Board, Teichmann International

Volume 2 Number 1 (Summer 2018)

  • Editorial
    Mario DiFiore, Editor, Journal of Financial Compliance
  • Electronic communications monitoring, the broken windows theory and artificial intelligence
    German Florez, Senior Compliance and Risk Specialist AML, UBS
  • Financial crime compliance principles in the securities custody business
    Yannick Cherel, Group Product Head of Financial Crime Compliance, Standard Chartered, Olivier Goffard, Head of Group Compliance & Ethics, Euroclear, Mark Gem, Member of the Executive Board, Clearstream and Marta González Pérez, Senior Advisor in Financial Crime, Euroclear
  • Effective reporting can support improved decision-making by directors and executives
    Ross Marrazzo, Managing Director, Global Financial Crimes Practice Area Head, Chief Compliance & Chief Ethics Officer, Treliant
  • Did that meeting discuss ‘inside information’? Insights from the US on when confidential information becomes material
    Carlo Milia, Senior Officer, Market Abuse Investigation Unit, CONSOB, Markets Division
  • Stretching AML resources at smaller institutions
    Angela Mele, Founder, RiskPass AML+Compliance
  • Uncertain times ahead for sanctions
    Daniel L. Tannebaum, Principal, PricewaterhouseCoopers
  • AML compliance and the new standards on beneficial ownership
    Brian Arrington, Deloitte Advisory, Regulatory & Compliance, AML Consulting, Deloitte Transactions and Business Analytics
  • Bad apples, rotten barrels and rebuilding trust in financial markets
    J.M. Yallop, Chair, FICC Markets Standards Board