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 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