Forthcoming content

A selection of articles and case studies scheduled for the new volume, Volume 4 of Journal of Financial Compliance includes:

  • 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