Forthcoming content

A selection of articles and case studies scheduled for the new volume, Volume 4 of Journal of Financial Compliance includes:

• Managing conduct risk during a pandemic
  Victoria Stubbs, Chief Risk Officer, The Cambridge Building Society
• ESG investing: Sustaining compliance in an evolving regulatory environment
  Paula Bosco, Co-Founder & CEO, Activus Risk Management
• Regulatory requirements, logistics and challenges of conducting an effective field audit programme
  Jim Hooks, Managing Director and Chief Compliance Officer, Private Advisor Group
• Unifying the regulatory compliance landscape to manage critical risk areas and improve efficiency
  Charles Nicholls, Strategic Accounts Manager-Enterprise GRC Solutions, Galvanize
• Cloud concentration risk: A subset of a wider regulatory concern around third party outsourcing resiliency
  Richard Harmon, Managing Director - Financial Services, Cloudera
• Managing material information around equity accelerated bookbuilding offerings
  Lorena Bernardi, Senior Officer, Market Abuse Investigation Unit, Consob
• How to avoid sanctions complications during mergers and acquisitions
  Amanda DeBusk, Partner, Dechert
• Conduct risks and their mitigation in algorithmic trading firms
  Alexander Culley, Chartered Fellow, Chartered Institute of Securities and Investments
• Benefits of aligning AML and ABC compliance
  Michelle Goodsir, Managing Director, K2 Intelligence
• Applications of Machine Learning in the identification, measurement and mitigation of money laundering
  Nikhil Aggarwal, Managing Director, Promontory Financial Group, an IBM Company, et al.
• Demonstrating compliance programme value to stakeholders
  Ian Painter, Associate Director, NAVEX Global
• Is RegTech infrastructure a systemic risk?
  Louise Smith, Chief Digital Officer, Lloyds of London
• The legal and economic implications from recent UK spoofing cases
  Yan Cao, Vice President, Marlene Haas, Manager, Greg Leonard, Vice President, Cornerstone Research and Gregory Mocek, Partner, Allen & Overy
• Assessing different approaches to compliance training
  Lori Weston, Managing Director, FORESIDE
• Staying compliant with Russia primary and secondary sanctions restrictions
  Cari Stinebower, Partner, Winston & Strawn
• How to increase cybersecurity awareness and fluency
  EJ Yerzak, Director Cyber IT Group, Ascendant Compliance Services
• Account reviews and risk rating
  Duane Lee, EVP, Cannon Financial Institute and Michael Daly, Director of Risk Management and Operations, Pohl Consulting and Training
• Bolstering Canada’s AML regime: The case for a beneficial ownership registry
  James Cohen, Executive Director, Transparency International and Sasha Caldera, Campaign Manager, Beneficial Ownership Transparency, Publish What You Pay Canada
• Technology enabled EDD
  Andrew Simpson, Chief Operating Officer, CaseWare RCM
• Common difficulties in the threshold application of CASS
  Carl Fernandes, Partner and Kishore Bhindi, Associate, Latham and Watkins
• An oversight framework to keep senior executives in control
  Richard Pike, CEO, Governor Software
• AML requirements in Luxembourg; How should managers prepare?
  Vitali Schetle