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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 2 (Autumn/Fall 2018)
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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)
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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