"Digital banking has become a key priority in the industry, deserving a specific approach and this peer-reviewed journal."
Forthcoming content
A selection of articles and case studies scheduled for the new volume, Volume 4 of Journal of Financial Compliance includes:
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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 -
Using digital ID to transform customer due diligence: How to mitigate risks and move towards implementation
Gene DiMira, Head of Global Compliance AMLATF Program, Manulife -
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