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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