Forthcoming content

Articles scheduled for Volume 7 of Journal of Financial Compliance include:

• Reviving securitisation in the EU: A critical analysis of the reporting requirements
  Olivia Hauet, Principal Economist, Directorate General Statistics, European Central Bank
• Why and how to embrace entity resolution and contextual monitoring
  Aaron Wolf, Deputy Head of Anti-Financial Crime for the Americas, Deutsche Bank
• How does hotline and incident management stack up in the financial services industry? An analysis of comparative metrics
  Carrie Penman, Chief Risk and Compliance Officer, NAVEX
• The markets in crypto assets regulation: What should firms be doing now?
  James Ross, Senior Regulatory Advisor, Binance
• The implementation of EMIR REFIT
  Carolyn Jackson, Partner and Ciara McBrien, Associate, Katten Muchin Rosenman
• Addressing proliferation finance in a compliance programme: Where existing controls can be leveraged, what new controls may be needed and potential challenges
  Lloyd Meadows, Director, Sanctions Advisory, Standard Chartered Bank
• Are firms getting the message? Recordkeeping obligations related to off-channel messaging
  Kevin Spence, Director of Compliance, TIAA
• The resolution plan for insurers in France: Being prepared in case of a failure
  Frédéric Visnovsky, Deputy Secretary General, Executive Director for Resolution, Autorité de contrôle prudentiel et de résolution (ACPR)
• Intelligence led analytics for anti-financial crime compliance
  Ashley Bostel, Head of Financial Crime Analytics, NatWest Group
• Simplifying US state-level obligations to help achieve compliance certainty
  Kris Stewart, Sr. Director, Regulatory Consulting/Decision Science, and Elaine F. Duffus, Senior Specialized Consultant, Wolters Kluwer
• Best practices when handling whistleblower complaints
  Tracey Salmon-Smith, Partner, Faegre Drinker et al
• Compliance challenges around the use of artificial intelligence in insurance
  Matthew Connell, Director, Policy and Public Affairs, Chartered Insurance Institute
• US economic sanctions targeting Latin America: Recent changes, developments and compliance challenges
  Cari Stinebower, Partner, Winston & Strawn
• Compliance and strategy in owning reputational risk
  Catherine Vaughn, Financial Crime Leader and Global Compliance Leader, EY
• Expert networks, alternative data, and managing risks of MNPI
  Jim Lundy, Partner, Securities Enforcement & Litigation Practice Group, Foley & Lardner LLP et al
• AML for a blockchain age
  Neal Christiansen, Senior Counsel, Financial Crimes Legal, Coinbase et al
• Communications occurring on unauthorised platforms without appropriate compliance oversight
  EJ Yerzak, Director of Cyber IT Services, Compliance Solutions Strategies
• The crypto frontier: How US policymakers and investment advisers can address digital assets
  William Nelson, Associate General Counsel, Investment Adviser Association
• How counter extremism could improve financial institutions’ counter terrorist financing controls
  Richard Wall, Money Laundering Reporting Officer, Bank Safra Sarasin (Gibraltar)
• Enhancing transparency in the beneficial ownership of legal entitles and structures in Southern Africa: Challenges and suggested solutions
  Charles Goredema, Head, Organised Crime and Money Laundering Programme, Institute for Security Studies
• Unintended consequences of the risk-based approach? De-risking tendencies in AML/CFT compliance
  Astrid Satovich, Policy Advisor - Payments, AML & Digital Finance, WSBI-ESBG
• Does human behaviour make principle-based regulation inevitable?
  Sheraz Afzal, Group Legal Risk and Compliance Director, Quint Group