Forthcoming content

A selection of articles and case studies scheduled for Volume 5 of Journal of Financial Compliance includes:

  • A guide for chief compliance officers of rias on how to develop, conduct and maintain an effective and robust annual testing programme
    Elizabeth Cope, Managing Member, SEC Compliance Solutions
  • Enabling a holistic solution to LIBOR repapering
    Marcy Sharon Cohen, General Counsel and Managing Director, ING Financial Holdings, Christopher S. Schell, Partner, Davis Polk & Wardwell, Sirisha Gummaregula, Chief Operating Officer, QuisLex and Jason Pugh, Managing Director, D2 Legal Technology
  • KYD (know your data): improving an AML programme with dedicated data management
    Drew Galow, Director, AML Model Management and Machine Learning, Risk Capital and Model Development, U.S. AML Office, Bank of Montreal and Sara Wright, Director, AML Data Projects, AML Data, Scotiabank
  • Regulatory requirements, logistics and challenges of conducting an effective field audit programme
    Jim Hooks, Managing Director and Chief Compliance Officer, Private Advisor Group
  • Three core competencies for the modern general counsel
    Joseph Polizzotto, Senior Vice President, Strategy and Client Services, QuisLex
  • The state of state fiduciary laws for broker-dealers: Predicting the impact of state laws on the SEC’s regulation BI enforcement
    Susan Schroeder, Partner, WilmerHale
  • The forensic professional's perspective on fraud and fraud detection
    Timothy P. Hedley, Sr. Advisor and Richard H. Girgenti, Vice-Chairman, K2 Integrity
  • What is the role of governance and compliance in ESG investing? 
    Beth Haddock, Managing Partner, Warburton Advisers and Carol Sirou, Founder and CEO, Safineia Advisors
  • Challenges of competent authority’s AML/CFT risk assessments in practice: no common standard
    Garrett Dunker, Director, FTS Financial Transparency Solutions
  • Creating effective compliance oversight structures for investment advisers
    Michelle Jacko, Managing Partner, Jacko Law Group and Janice Powell, Senior Compliance Consultant, Core Compliance & Legal Services
  • What does it all meme? An exploration of meme stock litigation, regulatory scrutiny, and defences for broker-dealers
    Susan Light, Partner, Michael J. Lohnes, Partner, Hannah O. Koesterer, Associate, Carrie M. Stickel, Associate and Conor McDonough, Litigation Associate, Katten Muchin Rosenman
  • Financial crime compliance in professional services: Moving beyond the three lines of defence
    Catherine Vaughan, Global Financial Crime, Ethics and Compliance Leader, EY
  • Real-life revolution: How compliance functions are leveraging innovation to become more aligned, efficient and tech-enabled
    Shelley Metz-Galloway, Managing Director and US Regulatory Compliance Leader, Risk and Compliance and Lucy Pearman, Managing Director and Global Head of Risk Transformation, Protiviti
  • Towards EUid: A blueprint for a secure pan-European digital identity
    Eric Wagner, Matteo Mannino, Senior Policy Adviser, European Savings and Retail Banking Group and Oliver Lauer, Consultant for Fintech and Digital Identity, DSGV
  • Leveraging technology in compliance and legal, and the challenges of digital services
    Edward O’Keefe, Jules Carter, Barbara Meeks, John Stoker, Randal Shields and Sarah Byrne, Moore & Van Allen
  • Responsible and ethical use of emerging technology
    Srividhya Thiagarajan, Compliance & Ethics Lead - Digital Experience, AI and Data Science and Alethea O’ Donnell, Head of Corporate Compliance & Ethics, MassMutual
  • Bringing behavioural science to compliance
    Christian Hunt, Founder, Human Risk
  • Wealth management requires a 360 degree compliance programme
    Jeff Cowley, President, InvestEdge
  • Assessing and managing UDAAP risk in the new regulatory environment
    Chris Lucas, Consultant, Spinnaker Consulting Group
  • Improvise, overcome and adapt your CMS to changing times
    Michael Berman, Founder and CEO, Ncontracts
  • Market abuse: The new challenges after the publication of the ESMA technical advice to EU Commission on the review of the Market Abuse Regulation
    Stefano Sirtori, Senior Policy Officer, Markets and Data Reporting Department, European Securities and Markets Authority
  • The potential impact of state fiduciary and best interest regulations
    Andrea Seidt, Securities Commissioner, State of Ohio Department of Commerce
  • Complaints: An effective early warning system to stave off danger
    Scott Pope, Payments Chief Risk Office Senior Manager - Consumer and Small Business Payments and David Dowling, Global Head of Customer Assurance, US Bank
  • How compliance leaders are driving efficiency and creating more effective compliance processes
    Stephen Pope, Co-Founder and CEO, Red Oak Compliance Solutions
  • Developing living policy documents that optimise risk taking
    Laurent Robert, Consultant, Spinnaker Consulting Group
  • Three lines of defence: Is it the right model?
    Donna Turner, Senior Consultant, Risk Shapes
  • Moving to a perpetual KYC Model: The benefits and challenges
    Neil Isherwood, Risk and Compliance Specialist, Dun and Bradstreet