Volume 2 (2018-19)

Each volume of Journal of Financial Compliance consists of four quarterly 100-page issues. The articles and case studies confirmed for publication in Volume 2 are:

Volume 2 Number 4 (Summer 2019)

Editorial
IFR/IFD: Practical implications of a new prudential regime for principal trading firms
Diederik Dorst, Global Head of Regulation and Market Structure at Flow Traders
A new regulatory evolution: Cryptocurrency and the securities industry at the crossroads
Alma Angotti, Managing Director and co-head, Adam Klauder, Senior Director, and Karina Bjelland managing consultant, Navigant Consulting’s Global Investigations and Compliance practice
Decoupling the investment firms’ prudential regime from credit institutions
James Ross, Head of Regulatory Developments, EMEA
AML/CFT and new technologies: Challenges in Japan
Hiroshi Ozaki, director of the AML/CFT Policy Office, Financial Services Agency, Japan (JFSA)
Review of the EU prudential rules for investment firms: The practical implications for fund and asset management firms
Agathi Pafili, Senior Policy Adviser in the European Fund and Asset Management Association (EFAMA)
How to effectively implement operational separation in an integrated financial services enterprise
Dirk Peterson, a partner in the Washington, DC office, K&L Gates
A primer in the European Commission’s proposed new prudential rules for investment firms
Ian Kelly, Head of Regulatory Advisory, Europe at the Royal Bank of Canada (RBC)

Volume 2 Number 3 (Spring 2019)

Crypto-assets: Commodities under European financial markets law?
Ralph Rirsch, Integrated Conduct Supervision of Banks, Austrian FMA and Stefan Tomanek, Prudential Supervision Asset Management, Prospectus, Consumer Information, Austrian FMA
Governance and remuneration under the Investment Firm Regulation and Directive
David Morrey, Partner, Grant Thornton UK and Anthony Ma, Associate Director, Head of Prudential Assurance, Financial Services, Grant Thornton UK
The human aspects of compliance
Jessica Ramos Byrne, Senior Regulatory and Oversight Affairs Expert, EBA Clearing
How to deal with multiple regulators in multiple jurisdictions
Lloyd Meadows, Sanctions Advisory, Financial Crime Compliance and Laura Shingler, Senior Associate, Corporate Crime and Investigations Team, Eversheds Sutherland
The underwriting and placement passport and Brexit
Adedayo Banwo, Attorney, CLS Group; Co-Chair, ABA Task Force on Financial Engineering for Economic Development
UDAAP controls for managing risk
Barbara Boccia, Senior Director, Wolters Kluwer
Jay-Z thrusts SEC subpoena enforcement into the spotlight: A look at recent trends and considerations
Daniel Nathan, Partner, Nicole Wredberg, Associate, White Collar Investigations, Securities Litigation & Compliance Group, Orrick, Herrington & Sutcliffe and William Heidepriem-Baird, University of Virginia School of Law

Volume 2 Number 2 (Autumn/Fall 2018)

Editorial
Mario DiFiore, Editor, Journal of Financial Compliance
AML and business ethics: The Caribbean and Latin/South America
Patricia Rodriguez-Autore, Senior Vice President of Deposit Compliance BSA Officer, Congressional Bank
Investigating potential violations of law, responding to whistle-blowers and mitigating associated ethical dilemmas
Bradley J. Bondi, Senior Partner, Cahill Gordon & Reindel LLP, Paul T. Chryssikos, Vice President and Chief Counsel for Annuities, Lincoln Financial Group and Michael D. Wheatley, Vice President, Regulatory Counsel, Lincoln Financial Group
Managing Russia sanctions
Susan Leddy, Senior Legal Counsel, Swiss Re
AML/CFT and data privacy regulation: Achieving a peaceful co-existence
Diane Bugeja, Senior Associate, Corporate & Finance Practice Group, Camilleri Preziosi
How the GDPR is influencing risk management
Ebbe Negenman, Chief Risk Officer, AEGON Bank
The value of public-private partnerships for financial intelligence
Simon Riondet, Head of Financial Intelligence, Europol
Compliance challenges in the world of elder financial exploitation
Judith M. Shaw, Administrator, Maine Office of Securities
AML compliance programmes in Canada
Andrew Simpson, Chief Operating Officer, CaseWare Analytics
Socrates in the C-suite: The need for Socratic dialogue in corporate compliance
Jonathan J. Rusch, Adjunct Professor, Georgetown University Law Center
An introduction to recent trends in terrorism financing
Fabian M. Teichmann, Chair of Board, Teichmann International

Volume 2 Number 1 (Summer 2018)

Editorial
Mario DiFiore, Editor, Journal of Financial Compliance
Electronic communications monitoring, the broken windows theory and artificial intelligence
German Florez, Senior Compliance and Risk Specialist AML, UBS
Financial crime compliance principles in the securities custody business
Yannick Cherel, Group Product Head of Financial Crime Compliance, Standard Chartered, Olivier Goffard, Head of Group Compliance & Ethics, Euroclear, Mark Gem, Member of the Executive Board, Clearstream and Marta González Pérez, Senior Advisor in Financial Crime, Euroclear
Effective reporting can support improved decision-making by directors and executives
Ross Marrazzo, Managing Director, Global Financial Crimes Practice Area Head, Chief Compliance & Chief Ethics Officer, Treliant
Did that meeting discuss ‘inside information’? Insights from the US on when confidential information becomes material
Carlo Milia, Senior Officer, Market Abuse Investigation Unit, CONSOB, Markets Division
Stretching AML resources at smaller institutions
Angela Mele, Founder, RiskPass AML+Compliance
Uncertain times ahead for sanctions
Daniel L. Tannebaum, Principal, PricewaterhouseCoopers
AML compliance and the new standards on beneficial ownership
Brian Arrington, Deloitte Advisory, Regulatory & Compliance, AML Consulting, Deloitte Transactions and Business Analytics
Bad apples, rotten barrels and rebuilding trust in financial markets
J.M. Yallop, Chair, FICC Markets Standards Board