Volume 1 (2017-18)

Each volume of Journal of Financial Compliance consists of four quarterly 100-page issues. The articles and case studies published in Volume 1 - still available - are:

Volume 1 Number 4 (Spring 2018)

  • Editorial
    Mario DiFiore, Editor, Journal of Financial Compliance
  • Using complaints handling insight to enhance conduct risk assessment
    Sheraz Afzal, Director of Conduct Risk and Regulatory Affairs, Dollar UK
  • Analysing the role of technology in compliance and regulatory structures
    Gerard Fullarton, Risk and Compliance Manager, IFM Investors
  • Detecting, investigating and preventing fraud: Can it truly be prevented?
    Mark Kaplan, Global Chief Operating Officer and Elin Cherry, Chief Executive Officer, Elinphant
  • Tipping the scales for insider-trading liability: The consequences of Martoma
    Alex Lipman, Partner and Olivia Gonzalez, Associate, Brown Rudnick
  • Service provider due diligence: An overview
    Bart J. McDonald, Executive Vice President and Chief Operating Officer, Renaissance Regulatory Services
  • Data protection, anti-money laundering and tax evasion: Seeking an equilibrium between public policy and fundamental rights
    Fabio Polverino, Legal Officer, European Data Protection Supervisor
  • Navigating personal data rights in an increasingly digital and machine world
    Jeewon Kim Serrato, Head, Global Privacy & Data Protection Group, Marc Elzweig, Associate, Shearman & Sterling, Steven Lee, Managing Director and Andy Gandhi, Managing Director, Alvarez & Marsal
  • Compliance with the owned entity and independent account controller exemptions under CFTC Rule 150.4
    Carolyn H. Jackson, Partner, Katten Muchin Rosenman
  • AUSTRAC v Tabcorp: A case study in enforcement action by Australia’s financial crime regulator
    Ben Scott, ‎Manager, Sanctions Analytics

Volume 1 Number 3 (Winter 2017)

  • Editorial
    Mario DiFiore, Editor, Journal of Financial Compliance
  • Courts as gatekeepers: The perils of defending against whistleblower retaliation suits
    Robert G. Houck, Partner and Benjamin A. Berringer, Associate, Clifford Chance
  • Reporting as an SYSC issue: Establishing governance maps for transaction reporting
    Adedayo Banwo, Senior Counsel
  • Interaction of RegTech with EU privacy, AML and payments regimes
    John Karantzis, Founder and Managing Director/CEO, iSignthis
  • Kenya’s deficiencies in its anti-money laundering/counter-terrorist financing framework: An analysis and possible solutions
    Halfan Mkiwa, Group Head, Compliance, ‎UAP Old Mutual Group
  • Internal audit: Raising the bar in auditing financial crime risk
    Samar Pratt, Managing Director and Erika Peters, Director, Exiger
  • What faster payments means for anti-money laundering compliance
    Henry Balani, Global Head of Strategic Affairs, Accuity
  • Managing correspondent banking ML/TF risks: Recent regulatory developments on the risk-based approach model
    Jan-Gerrit Iken, Global Head of Financial Crime, AML and Sanctions and Alejandro Agudelo, VP, Global Standards, Anti-Money Laundering Department, Commerzbank
  • Challenges in implementing the ‘5th pillar’
    Robert Molloy, Chief Anti-Money Laundering Officer, Raymond James
  • Applying control balance theory to the rogue traders Nick Leeson, Jérôme Kerviel and Kweku Adoboli — Part 2
    Hagen Rafeld, Vice President, Divisional Control Office of the Global Markets Division, Sebastian Fritz-Morgenthal, Expert Principal, Bain & Company, Peter N. Posch, Finance Chair, TU Dortmund University

Volume 1 Number 2 (Autumn 2017)

  • Editorial
    Mario DiFiore, Editor, Journal of Financial Compliance
  • Compliance meets human resources: Monitoring competence and integrity
    Matthew Connell, Director of Policy and Public Relations, Chartered Insurance Institute
  • Dealing with politically exposed persons: Navigating the changing regulatory environment
    Susannah Cogman, Partner and Elizabeth Head, Senior Associate, Herbert Smith Freehills
  • Personal Liability: What compliance professionals need to know
    Polly Greenberg, Managing Director, Duff & Phelps
  • Investigations by multilateral development banks: How to manage risks, responses and expectations 
    Chiawen Kiew, Principal Investigations Manager, European Bank for Reconstruction and Development
  • Behavioural patterns in rogue trading: Analysing the cases of Nick Leeson, Jérome Kerviel and Kweku Adoboli
    Hagen Rafeld, Vice President, Divisional Control Office of the Global Markets Division, Sebastian Fritz-Morgenthal, Expert Principal, Bain & Company, Peter N. Posch, Finance Chair, TU Dortmund University
  • Why the DNA of beneficial owners prevent companies from self-submitting beneficial ownership information
    Anders A. L. Rodenberg, Head of Financial Institutions & Advisory in North America, Bureau van Dijk
  • The position of individuals in regulatory investigations: A changing landscape
    Guy Wilkes, Partner, Financial Services Regulatory and Enforcement, Mayer Brown International and Francis Kean, Executive Director, FINEX Global, Willis Towers Watson

Volume 1 Number 1 (Summer 2017)

  • Editorial
    Mario DiFiore, Editor, Journal of Financial Compliance
  • A culture of learning: Reinforcing a firm’s values, ethics and culture through building a learning environment in compliance
    Michael Roemer, Head of Compliance, Mark Buckle, Head of Learning for Compliance, Barclays
  • Predictive analytics in fraud and AML
    Clinton Mills, Managing Director, GBG DecTech
  • Man vs machine: Balancing automation and manual reviews to strengthen risk monitoring
    Matthew McLaughlin, Director, Global Investigations, AFEX
  • Risk impact is in the eye of the beholder: Difficulties faced by the Regulator in an offshore financial centre
    Paul Coleman, Head of Compliance Unit, Turks and Caicos Islands Financial Services Commission
  • AML professionals and frontline staff: Bridging the divide
    Heather A. Allen, First Vice President, BSA Officer, Peoples Bank NC and Anne Archer, BSA/AML Officer and Manager, Xenith Bank
  • Implementing ethical culture across the Australian financial landscape
    Richard Brandweiner, Partner, Leapfrog Investments and Sue Morey, Head of Advocacy, CFA Societies Australia and CFA Society New Zealand,
  • An intelligence-led approach to addressing cyber fraud: Proactive fraud auditing
    Elizabeth Petrie, Director of Strategic Intelligence, Citi and Casey D. Evans, Executive-in-Residence, Accounting and Taxation Department, Kogod School of Business, American University
  • The new era of anti-financial crime compliance 
    Marios M. Skandalis, Director, Group Compliance Division, Bank of Cyprus Group
  • Senior management training, accountability and oversight for anti-money laundering compliance
    Zachary C. Miller, Vice President/BSA Officer, Mid Penn Bank and Lauren Kohr, Senior Manager, Pentagon Federal Credit Union
  • Ensuring good governance throughout the product life-cycle: A financial planner’s view
    Nick Bamford, Executive Director, Informed Choice