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