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