"It's very exciting to see a peer-reviewed journal for our field. I'm impressed with the range of topics but also that the journal analyses emerging trends in all areas of advancement and communications. The quality of the articles I've seen so far is also very nice to see."
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