Forthcoming content

Articles scheduled for Volume 6 of Journal of Financial Compliance includes:

• Managing trade and communications surveillance in the new world of work
  Yasmine Li, Head of EMEA Surveillance, Global Head of Commodities Surveillance, Macquarie Group
• AI model risk: What the current model risk management framework can teach us about managing the risks of AI models
  Catarina Souza, Senior Expert Model Risk Management, ING
• Preventing and addressing AML/CFT risks of digital finance: The European regulatory and supervisory perspective
  Joana Neto, AML/CFT Data Specialist, AML/CFT Unit, European Banking Authority
• Can implementing classic management theories in the KYC process help achieve high regulatory compliance?
  Sabina Ausfelt, Head of Financial Crime Prevention, JAK Medlemsbank
• Data risks and security in the financial sector: Adapting to a new environment
  Claudia Guagliano, Head of Innovation Products and Technology Unit, Risk Analysis and Economics Department, European Securities and Markets Authority
• ESG ratings: How to undertake a proactive review to ensure there is no hidden fraud and corruption
  Duncan Smith, Deputy Head, Fraud Investigations, European Investment Bank
• Compliance challenges for global institutions stemming from China’s cross-border data sharing requirements
  Eugenie Shen, Managing Director, Head of Asset Management Group, Asia Securities Industry & Financial Markets Association and Alex Roberts, Counsel, Linklaters
• Application of the Certified Persons Regime: Evolving best practice and potential pitfalls
  Louise Gowland, Head of EMEA Conduct Office and Senior Vice President, Northern Trust
• Understanding the impact of ESG on compliance
  Jeffrey P. Naimon, Partner, Caroline M. Stapleton Senior Counsel and Benjamin M. Litchfield, Associate, Buckley
• The effect of organisational leaders on employee voice and employee silence
  Manon de Zwart, Senior Strategic Communication Advisor and Marjo van den Broek, Global Cooperative Values Manager, Rabobank
• Combatting market abuse within algorithmic trading in the financial and physical markets
  Jerry de Leeuw, Founder, Entrima
• The use of RegTech in fighting financial crime 
  Igor Sumkovski, Senior Manager, Sanctions Policy & Complex Advisory, Santander
• The regulatory leap into Big Data and machine learning: Practical advice for compliance officers
  Bo Howell, Cofounder and CEO, Joot
• How can we better identify misconduct behaviours and abuse of position, and what are the drivers for committing fraud and theft?
  Tracey Carpenter, Insider Threat Manager, Cifas
• Pan-European regimes: Pathway to mitigate lack of trust and complexity in insurance
  Ana Teresa Moutinho, Head of Supervisory Processes Department and Andres Lehmets, Expert on InsurTech, Consumer Protection Department, European Insurance and Occupational Pensions Authority
• UK MiFIR transaction reporting: Fundamental, critical, a common good – but typically wrong
  Charlotte Longman, Director, ACA Group
• Adopting RegTech: A practical guide
  Harpreet Singh, Global Lead, Post-Trade Solutions, BCM, Luxoft
• Does decentralised finance = deregulated finance? 
  Daniel J. Davis, Partner and Sheehan H. Band, Associate, Financial Markets Litigation & Enforcement, Katten Muchin Rosenman
• It’s not the algorithm, it’s the ethics
  Gary Shiffman, Founder, CEO and Chair of the Board, Giant Oak and Christopher Wall, King’s College, London
• Examining the root causes of controls' failures and remediation
  Jamila Piracci, Managing Director, Patomak Global Partners
• Potential applications of emerging technologies to anti-money laundering compliance programmes
  Barrie VanBrackle, Partner, Parag Patel, Partner and Victor Razon, Associate, Latham & Watkins
• The synergy between the UK Senior Manager Regime area of ‘reasonable steps’ and diversity and inclusion
  Ramita Dhillon, Director, Head of Compliance, BACB
• International regulatory and oversight trends in financial consumer protection:  What can be gleaned from the UK, Portuguese, Irish and Canadian experiences
  Lucie Tedesco, Counsel, Financial Services, McCarthy Tétrault 
• Navigating state data privacy laws: A guide for SEC-registered investment advisers
  William Nelson, Associate General Counsel, Investment Adviser Association
• Keys to a successful compliance testing programme
  Ellen Rose, Managing Director, Treliant