Journal of Financial Compliance

Journal of Financial Compliance is the major new professional journal publishing in-depth, peer-reviewed articles and case studies on how financial institutions can proactively manage the implementation of and adherence to regulatory requirements and effectively mitigate compliance and legal risk, as well as how central banks and financial regulators can effectively manage supervision, inspection and enforcement to facilitate customer/investor protection, financial stability and market growth.

Each quarterly 100-page issue will provide in-depth guidance on existing, new and emerging legal and regulatory requirements, the practical implementation of compliance policies, procedures and practices and their impact on business practice and corporate culture in the financial services sector.  Its detailed articles and case studies – all of which will be peer-reviewed by an Editorial Board of leading regulatory and compliance experts prior to publication – will provide in-depth, actionable advice and ‘lessons learned’ from fellow professionals. It will showcase new thinking and best practices in compliance at major financial institutions worldwide, provide authoritative guidance from advisers and service providers and provide an insight into regulators' supervision, inspection and enforcement priorities, as well as criminal matters.

Journal of Financial Compliance does not publish advertorial or advertising but rather in-depth articles 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 will be 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:

  • Compliance
  • Legal
  • Risk management
  • Audit
  • Governance

As well as central bankers and financial regulators specialising in:

  • Regulation
  • Oversight
  • Supervision
  • Enforcement
  • Financial crime
  • AML and counterterrorist finance
  • Financial stability