Forthcoming content

Each volume of Journal of Financial Compliance consists of four quarterly 100-page issues. A selection of the peer-reviewed articles and real world case studies scheduled for Volume 2 include:

  • How GDPR is influencing risk management
    Ebbe Negenman, Chief Risk Officer, AEGON Bank
  • 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
  • Electronic communications monitoring, the broken windows theory and artificial intelligence
    German Florez, Senior Compliance and Risk Specialist AML, UBS
  • Investigating potential violations of law, responding to whistleblowers and mitigating associated ethical dilemmas
    Bradley J. Bondi, Senior Partner, Cahill Gordon & Reindel and Paul T. Chryssikos, Vice President of Regulatory Compliance, Lincoln Financial Group
  • How to effectively deal with multiple regulators and investigators in multiple jurisdictions
    Lloyd Meadows, Senior Manager, Sanctions Advisory, Financial Crime Compliance, Africa, Middle East, Standard Chartered Bank
  • AML compliance and the new standards on beneficial ownership
    Brian Arrington, Deloitte Advisory, Regulatory & Compliance, AML Consulting, Deloitte Transactions and Business Analytics
  • 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
  • Stretching AML resources at smaller institutions
    Angela Mele, Founder, RiskPass AML+Compliance
  • Uncertain times ahead for sanctions
    Daniel L. Tannebaum, Principal, PricewaterhouseCoopers
  • Bad apples, rotten barrels and rebuilding trust in financial markets
    J.M. Yallop, Chair, FICC Markets Standards Board
  • AML/CFT and data privacy regulation: Achieving a peaceful co-existence
    Diane Bugeja, Senior Associate, Camilleri Preziosi
  • Managing Russia sanctions
    Susan Leddy, Senior Legal Counsel, Group Operations, Director, Legal & Compliance, Swiss Re
  • Compliance challenges in the world of elder financial exploitation
    Judith M. Shaw, Administrator, Maine Office of Securities
  • The human aspects of compliance
    Jessica Ramos, Legal Counsel, SWIFT
  • Socrates in the C-Suite: The uses of Socratic dialogue in corporate compliance
    Jonathan J. Rusch, Senior Vice-President and Head of Anti-Bribery & Corruption Governance, Wells Fargo
  • Role of transaction monitoring in ongoing monitoring: A Canadian perspective for AML compliance programs
    Andrew Simpson, Chief Operating Officer, CaseWare Analytics
  • The value of public private partnerships for financial intelligence
    Simon Riondet, Head of Financial Intelligence, Operations Department, Europol
  • AML and business ethics: Caribbean and Latin/South America
    Patricia Rodriguez-Autore, Senior Vice President of Deposit Compliance BSA Officer, Congressional Bank
  • Consumer financial data aggregation: Identifying key concerns and the potential for regulatory intervention
    Heidi Wicker, Partner, Schwartz & Ballen
  • Best practices in how to create a true culture of integrity within banks and financial services organizations
    Dennis Lormel, President and CEO, DML Associates
  • Guarding against personal liability risks for AML officers
    Marcos Czacki, Chief Operations Officer, Daimler Financial Services Mexico
  • Leading practices for UDAAP controls for the first line
    Barbara Boccia, Senior Director, Advisory Services and Regulatory Relations, Compliance Solutions, Wolters Kluwer
  • Making a culture of compliance contagious
    LaSalle Vaughn, Executive Director, ESM & Digital Experience/Design Compliance Enterprise Compliance, Chief Legal Office, USAA
  • Guarding against personal liability risks for AML officers
    Ian Comisky, Partner, Fox Rothschild