Volume 3 (2019-20)

Each volume of Journal of Financial Compliance consists of four 100-page issues published in print and online.

Volume 3 Number 4 (Summer 2020)

Editorial
Mario J. DiFiore, Editor, Journal of Financial Compliance
Avoiding the floating rate cliff-edge: How asset management general counsels can tackle the LIBOR cessation challenge
Jaime A. Madell, Managing Director and Head of Derivatives Legal, Guggenheim Partners
Regulation Best Interest: A new standard of conduct for broker-dealers in recommendations to retail customers
Susan Light, Partner, Katten Muchin Rosenman LLP
Conduct risk in anti-money laundering: Implications of when financial institutions get it wrong
Heather Allen, First Vice President, BSA Officer, Peoples Bank North Carolina
Resolution of banks: What kind of scenarios to enhance the credibility and the feasibility of resolution strategies
Frédéric Visnovsky, Deputy Secretary General, Autorité de Contrôle Prudentiel et de Résolution (ACPR)
The intersection of compliance and diversity: The interconnectedness of these two disciplines and the implications for the compliance profession
Tina Stinson-DaCruz, Officer-in-Charge of Compliance Education and Reporting, Federal Reserve Bank of New York
Understanding the risks and challenges of shell companies in managing AML compliance
Ola M. Tucker, Founder, Compliance Notes
Standards of competence for financial advisers: The poor relation in international and regional regulation
Matthew Connell, Director, Policy and Public Affairs, Chartered Insurance Institute
Case study: Consumer protection framework in the Kenyan financial services sector: Current state, deficiencies, lessons from the world and possible solutions
Halfan Mkiwa, Independent regulatory compliance consultant

Volume 3 Number 3 (Spring 2020)

Editorial
Mario J. DiFiore, Editor, Journal of Financial Compliance
Embedding ethics in organisations and their operations: a dynamic approach
Jorge Dajani, Chief Ethics Officer and Bertrand Andre Rossert, Adviser, World Bank Group
Establishing sustainable risk reporting that unlocks trust and organisational value
Tim Humphrey, Senior Director of Operational Risk, Best Egg
Protecting data in 2020 and beyond: The role of blockchain technology and artificial intelligence in neutralising the growing threat of cybercrime
Daniel Kornitzer, Chief Business Development Officer, Paysafe
Using hotline data to build better board reports
Carrie Penman, Chief Risk and Compliance Officer and Andrew Burt, Content Developer, NAVEX Global
Ethics in artificial intelligence and machine learning: The importance of opening the dialogue for new processes at your organisation
Colleen Dorsey, Director, Organisational Ethics & Compliance, University of St. Thomas
OFAC sanctions compliance: Insights from recent enforcement actions
Ben Scott, Senior Manager of Sanctions and Financial Crime Compliance Risk Management, Commonwealth Bank of Australia
The compliance and ethics officer of the future: What skills are necessary?
John Krenitsky, Chief Compliance Officer, SVP, The Federal Home Loan Mortgage Corporation
The power of the US SEC whistleblower programme: What compliance and regulatory professionals should know
Sean X. McKessy, Partner, Phillips & Cohen
China’s macroprudential policies: Framework, implementations and implications
Kerry Liu, Associate, China Studies Centre at The University of Sydney

Volume 3 Number 2 (Winter 2019)

Editorial
Financial industry compliance with big data and analytics
Christina McGlosson, Associate Director, Division of Enforcement, US Commodity Futures Trading Commission and Marco Enriquez, Applied Mathematician, Division of Economic and Risk Analysis (DERA), US Securities and Exchange Commission
A practical approach to culture and conduct risk management
James Ross, Head of Regulatory Developments EMEA, Columbia Threadneedle Investments
Reducing the regulatory burden: How can technology revolutionise compliance processes and make complying with multiple regulations more efficient?
Deborah Traversa, Marketing Director and Giacomo Toselli, Senior Product Manager, SIA
Innovation through regulation: A comprehensive regulatory framework for blockchain-based services and products
Antonio Giannino, Chief Risk & Compliance Officer, Damiano Di Maio, Associate, Financial Regulation, Nunziante Magrone and Andrea Vianelli, Head of Legal and Regulatory Affairs, Amagis Capital
The evolving role of compliance: How companies need to enforce their three lines of defence to protect the business
Renata Hoes, Chief Compliance Officer, MLRO and Data Protection Officer, MFEX Luxembourg and Karin Gehlert, Financial Crime Compliance Professional
Building an effective US/UK sanctions compliance programme: What are the key components?
Rita D. Mitchell, U.K. Partner, David Mortlock, Partner and Simon Osborn-King, U.K. Partner, Willkie Farr & Gallagher LLP
Are financial institutions’ counter-terrorist financing controls fit for today’s challenges?
Richard Wall, Money Laundering Reporting Officer, Risk Control, Bank Leumi (UK)

Volume 3 Number 1 (Autumn/Fall 2019)

Editorial
Why financial institutions need a master data strategy as a starting point for a RegTech strategy
Murat Abur, Co-founder, Chief Technology Officer and Sarah Murphy, Legal Team, Suade
Why are digital tools so pivotal in compliance?
Søren Stenderup, Co-founder, CEO, Crowdinvest
Charging money laundering based upon a tax offence: No longer a bridge too far
Ian M. Comisky, Chair of International Compliance, Fox Rothschild
The AnaCredit regulation is in place — a reflection on data-driven reporting: What has been achieved by the banks and regulators, and what remains to be done?
Olivia Hauet, Senior Project Manager, Nordea
Artificial intelligence for regulatory compliance: Are we there yet?
Tom Butler, Professor and Leona O’Brien, Senior Regulatory Technology Researcher, Department of Business Information Systems, University College Cork
How distributed ledger technology could solve regulatory problems
Tom Spouse, Founder, CEO and Ben Green, DLT solutions, Prospect 33
Changing financial services firms’ behaviour through a duty of care
Iris H.-Y. Chiu, Professor of Corporate Law and Financial Regulation and Alan Brener, Teaching Fellow, UCL
Implications of the African Union Special Declaration on Illicit Financial Flows for financial services infrastructure in Africa
Charles Goredema, Founding Director, Informed Solutions to Economic Crime in Africa