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Content
September 2024, Volume 8, Issue 1
- 4-5 Editorial
by Difiore, Mario J.
- 6-18 Machine learning and compliance: A consumer-led approach
by Connell, Matthew
- 19-31 Strengthening governance practices of TCSPs in the EU's smallest member state
by Buttigieg, Christopher P. & Camilleri, Petra
- 32-42 Is DORA the dawn of a new era for cybersecurity compliance in the EU's financial sector?
by Giannino, Antonio & Valenti, Francesca & Sertori, Federico
- 43-53 How to maintain a strong compliance function in a remote/hybrid working environment, using ESG as both the objective and the driver
by Ramos, Jessica & Adler, Ella & Exarchopoulou, Erietta
- 54-64 From data to decisions: How emerging technologies can enhance ESG assessments and reporting
by Nelson, William
- 65-79 Risk-based customer due diligence is the key to effectively managing financial crime risk
by Tucker, Ola
- 80-91 A consideration of the evolving role, visibility and prominence of compliance in strategic planning and protecting brand and reputation
by Vaughan, Catherine
May 2024, Volume 7, Issue 4
- 300-301 Editorial
by Difiore, Mario J.
- 302-327 The markets in crypto assets regulation: What should firms be doing now?
by Ross, James & Swan, Giles
- 328-345 From a ‘plain vanilla’ exercise to a highly complex compliance monitoring framework: Some practical challenges in investment compliance
by Schetle, Vitali
- 346-352 Order and trade data analysis in recent spoofing investigations
by Leonard, Greg & Haas, Marlene & Pegden, Oliver
- 353-367 Everything, everywhere, all at once: The impossible mission of compliance officers
by Mcmanus-Barnett, Natalie & Goffard, Olivier
- 368-385 Enhancing transparency in the beneficial ownership of legal entities and structures in Southern Africa: Challenges and suggested solutions
by Goredema, Charles
April 2024, Volume 7, Issue 3
- 200-201 Editorial
by Difiore, Mario J.
- 202-221 Intelligence-led analytics for anti-financial crime compliance
by Bostel, Ashley
- 222-230 Internal investigations into regulatory misconduct: Key issues for individuals
by Kean, Francis & Karampetsos, Menelaos
- 231-241 Are firms getting the message? Record-keeping obligations related to off-channel messaging
by Spence, Kevin
- 242-248 ESG and anti-financial crime: Two sides of the same coin?
by Bugeja, Diane
- 249-255 The role of ethical leadership in resilient corporations
by Dajani, Jorge & Rossert, Marianne
- 256-267 Future state AML: Using advanced technology to reimagine transaction monitoring
by Phillips, Chris
- 268-292 US economic sanctions targeting Latin America: Recent changes, developments and compliance challenges
by Stinebower, Cari N. & Fernández, Mariana Pendás & Garcia, Daimiris
December 2023, Volume 7, Issue 2
- 104-105 Editorial
by Difiore, Mario J.
- 106-119 Reviving securitisation in the EU: A critical analysis of the reporting requirements
by Hauet, Olivia
- 120-139 Compliant marketing: Breaking down the New Marketing Rule
by Cope, Elizabeth
- 140-147 Preparing for the implementation of EMIR REFIT
by Jackson, Carolyn & Mcbrien, Ciara
- 148-159 AML for a blockchain age
by Christiansen, Neal & Jaber, Valerie-Leila & Rabenn, Grant & Strait, Melissa
- 160-168 Unintended consequences of the risk-based approach? De-risking tendencies in anti-money laundering and countering the financing of terrorism compliance
by Satovich, Astrid
- 169-176 How does hotline and incident management stack up in the financial services industry? An analysis of comparative metrics
by Penman, Carrie
- 177-188 How counter extremism could improve financial institutions' counter terrorist financing controls
by Wall, Richard
- 189-194 Expert networks, alternative data and managing risks of material non-public information
by Lundy, James G. & Nelson, Margaret Gembala & Mccaughey, Bill
October 2023, Volume 7, Issue 1
- 5-6 Editorial
by Difiore, Mario J.
- 7-14 Why and how to embrace entity resolution and contextual monitoring
by Wolf, Aaron
- 15-34 The case for self-regulation for the digital assets industry
by Angotti, Alma & Angulo, Tracy & Bolton, Gene & Kusz, Gabriella
- 35-45 The resolution plan for insurers in France: Being prepared in case of a failure
by Visnovsky, Frédéric
- 46-52 Best practices when handling whistleblower complaints
by Salmon-Smith, Tracey & Grannum, Sandra D. & Linebaugh, Jesse & Aryama, Vijayasri G.
- 53-63 The crypto frontier: How US policymakers and investment advisers can address digital assets
by Nelson, William
- 64-74 Consumer protection and good customer outcomes in an evolving financial services ecosystem
by Turner, Donna
- 75-81 Simplifying US state-level obligations to help achieve compliance certainty
by Stewart, Kris & Duffus, Elaine F.
- 82-100 Is employees' understanding of conduct risk aligned with values espoused in their employers' public statements?
by Culley, Alexander
June 2023, Volume 6, Issue 4
- 296-297 Editorial
by Difiore, Mario J.
- 298-309 Challenges of sanctions lists screening and the impact of sanctions triggered by conflict zones
by Andriasik, Szilvia
- 310-320 Driving a strong risk culture and managing conduct risk
by Williams, Cara
- 321-332 Designing technology systems to detect and prevent financial crime
by Randhawa, Jas & Swaminathan, Suraj
- 333-345 Economic sanctions on the rise: The ever-increasing importance of sanctions screening in a compliance programme
by Fadavi, Amir
- 346-356 Operation Spring: How Swedish authorities took out Sweden's biggest narco bank
by Sohlén, Magnus
- 357-367 The ongoing challenge of conduct risk management
by Hirst, Rocky
- 368-384 Understanding the human factor in financial crime compliance
by Tansu, Gizem
- 385-391 Strengthening US financial institutions' sanctions compliance through better data and continuous monitoring
by Dinkins, Jim
March 2023, Volume 6, Issue 3
- 196-197 Editorial
by Difiore, Mario J.
- 198-212 China's cross-border data sharing requirements: Compliance challenges for global institutions
by Shen, Eugenie & Roberts, Alex
- 213-221 ESG ratings: How to undertake a proactive review to minimise any hidden fraud and corruption and improve a company's governance rating
by Smith, Duncan
- 222-231 It’s not the algorithm, it’s the ethics
by Shiffman, Gary M. & Wall, Christopher
- 232-239 The synergy between the UK senior manager regime area of ‘reasonable steps’ and diversity and inclusion
by Dhillon, Ramita
- 240-247 Getting controls under control
by Piracci, Jamila & Beckmann, Christopher
- 248-258 Potential applications of emerging technologies to anti-money laundering compliance programmes
by Vanbrackle, Barrie & Patel, Parag & Razon, Victor
- 259-266 Keys to a successful compliance testing programme
by Rose, Ellen
- 267-280 Action–reaction: US financial regulation meets ESG considerations
by Naimon, Jeffrey P. & Stapleton, Caroline M. & Litchfield, Benjamin M.
- 281-290 Navigating state data privacy laws: A guide for SEC-registered investment advisers
by Nelson, William
January 2023, Volume 6, Issue 2
- 101-102 Editorial
by Difiore, Mario J.
- 103-112 AI model risk: What the current model risk management framework can teach us about managing the risks of AI models
by Souza, Catarina
- 113-122 Combatting market abuse within algorithmic trading in the financial and physical markets
by De Leeuw, Jerry
- 123-128 Application of the Certified Persons Regime: Evolving best practice and potential pitfalls
by Gowland, Louise
- 129-137 UK MiFIR transaction reporting: Fundamental, crucial, a common good — but typically wrong
by Longman, Charlotte
- 138-147 The use of RegTech in fighting financial crime
by Sumkovski, Igor
- 148-157 Pan-European regimes: A pathway to mitigate lack of trust and complexity in insurance
by Moutinho, Ana Teresa & Lehtmets, Andres
- 158-172 Does decentralised finance equal deregulated finance?
by Davis, Daniel J. & Band, Sheehan H.
- 173-186 International regulatory and oversight trends in financial consumer protection: What can be gleaned from the UK, Portuguese, Irish and Canadian experiences?
by Tedesco, Lucie
- 187-190 `Trading at the Speed of Light: How Ultrafast Algorithms Are Transforming Financial Markets` by Alexander Culley
by Culley, Alexander
September 2022, Volume 6, Issue 1
- 4-5 Editorial
by Difiore, Mario J.
- 6-16 Managing trade and communications surveillance in the new world of work
by Li, Yasmine
- 17-29 Can implementing classic management theories in the KYC process help achieve high regulatory compliance?
by Ausfelt, Sabina
- 30-39 Preventing and addressing AML/CFT risks of digital finance: The European regulatory and supervisory perspective
by Neto, Joana
- 40-48 How can misconduct behaviours and abuse of position be better identified, and what are the drivers for committing fraud and theft?
by Carpenter, Tracey
- 49-56 Data risks and security in the financial sector: Adapting to a new environment
by Guagliano, Claudia & Harris, Alexander
- 57-70 The regulatory leap into big data and machine learning: Practical advice for compliance officers
by Howell, Bo
- 71-79 The effect of organisational leaders on employee voice and employee silence
by De Zwart-Van Der Ham, Manon & Van Den Broek, Marjo
- 80-94 Adopting RegTech: A practical guide
by Singh, Harpreet
August 2022, Volume 5, Issue 4
- 292-293 Editorial
by Difiore, Mario
- 294-306 Can we keep up with the machines? Stronger and faster artificial intelligence systems require robust risk management practices
by O'Keefe, Edward & Carter, Jules & Byrne, Sarah & Meeks, Barbara & Stoker‡, John & Shields, Randal
- 307-314 Perpetual know your customer: A new approach to addressing customer due diligence
by Balani, Hnery
- 315-323 Taking an intelligence-led approach: How to improve understanding of financial crime threats through intelligence and analysis
by Gilchrist, David
- 324-334 Data as sword and shield: How regulated entities in the banking and securities industries can utilise data analytics to improve compliance and manage enforcement risk
by Montgomery, Brian H. & Oliwenstein, David
- 335-349 A stakeholder-based taxonomy for managing regulatory compliance risk and aligning to business strategy
by Parkatti, David R.
- 350-358 New Aml regulation: From ‘virtual currency’ to ‘crypto assets' — differentiation from tokenised financial instruments and potential concerns over the perceived end of pseudonymity in the crypto sector
by Tomanek, Stefan & Rirsch, Ralph
- 359-369 ESG/sustainable finance in securities lending
by Stuber, Heiko & Gertel, Jacob
- 370-377 Converting critical enterprise risks into a usable risk matrix
by Powell, Janice
March 2022, Volume 5, Issue 3
- 196-197 Editorial
by Difiore, Mario J.
- 198-208 How compliance leaders are driving efficiency and creating more effective compliance processes
by Pope, Stephen
- 209-217 Assessing and managing UDAAP risk in the new regulatory environment
by Lucas, Chris
- 218-227 The case for diversity, equality and inclusion
by Janes, Francis & Harvey, Richard H.
- 228-236 Moving to a perpetual KYC model: The benefits and the challenges
by Isherwood, Neil
- 237-247 Three lines of defence — is it the right model?
by Turner, Donna
- 248-256 Improvise, overcome and adapt your CMS to changing times
by Berman, Michael
- 257-266 Market abuse: The new challenges further to ESMA’s technical advice to the European Commission on the review of the Market Abuse Regulation
by Sirtori, Stefano
- 267-274 Financial crime compliance in professional services: Moving beyond the three lines of defence
by Vaughan, Catherine
- 275-283 Developing living policy documents that optimise risk taking
by Robert, Laurent
December 2021, Volume 5, Issue 2
- 100-101 Editorial
by Difiore, Mario J.
- 102-114 What does it all meme? An exploration of meme stock litigation, regulatory scrutiny and defences for broker-dealers
by Light, Susan & Lohnes, Michael J. & Koesterer, Hannah O. & Stickel, Carrie M. & Mcdonough, Conor
- 115-122 What is the role of governance and compliance in ESG investing?
by Haddock, Beth & Sirou, Carol
- 123-133 Takeaways from sanctions enforcement in 2020 and trends in 2021
by Avergun, Jodi & Treanor, James & Chandhok, Shruti
- 134-143 Challenges of competent authority’s AML/CFT risk assessments in practice: No common standard
by Dunker, Garrett
- 144-153 Creating effective compliance oversight structures for investment advisers
by Jacko, Michelle L. & Powell, Janice
- 154-161 Real-life revolution: How compliance functions are leveraging innovation to become more aligned, efficient and tech-enabled
by Metz-Galloway, Shelley & Pearman, Lucy
- 162-188 Towards European electronic identity: A blueprint for a secure pan-European digital identity
by Wagner, Eric & Mannino, Matteo & Lauer, Oliver
June 2021, Volume 5, Issue 1
- 4-5 Editorial
by Difiore, Mario J.
- 6-14 Responsible and ethical use of emerging technology
by Thiagarajan, Srividhya & O’Donnell, Alethea
- 15-29 A guide for chief compliance officers of registered investment advisers on how to develop, conduct and maintain an effective and robust annual testing programme
by Cope, Elizabeth
- 30-44 Enabling a holistic solution to London Interbank Offer Rate repapering
by Cohen, Marcy Sharon & Schell, Christopher S. & Gummaregula, Sirisha & Pugh, Jason
- 45-54 Know your data: Improving an anti-money laundering programme with dedicated data management
by Galow, Drew & Wright, Sara
- 55-65 Regulatory requirements, logistics and challenges of conducting an effective field audit programme
by Hooks, Jim
- 66-74 Three core competencies for the modern general counsel
by Polizzotto, Joseph
- 75-84 The state of state fiduciary laws for broker-dealers: Predicting the impact of state laws on SEC’s Regulation Best Interest enforcement
by Schroeder, Susan
- 85-93 The forensic professional’s perspective on fraud and fraud detection
by Hedley, Timothy P. & Girgenti, Richard H.
June 2021, Volume 4, Issue 4
- 296-297 Editorial
by Difiore, Mario J.
- 298-312 Russia sanctions and considerations in building a sanctions compliance programme
by Stinebower, Cari & Jabaji, Dainia & Pendás-Fernandez, Mariana
- 313-335 Building better transaction monitoring for anti-money laundering
by Bostel, Ashley
- 336-343 Compliance education for the modern learner: Strategic use of videos
by Miller, Brendan
- 344-352 Work smarter, not harder: Artificial intelligence’s critical role in mitigating financial crime risk
by Sammé, Araliya
- 353-362 Leveraging human and financial resources to meet higher compliance expectations
by Niemi, Dr Ilona
- 363-378 Challenges presented by AML in the areas of distribution, account opening and client relationships
by Schetle, Vitali
- 379-390 Putting an end to snow-washing: The case for a publicly accessible corporate registry of beneficial owners in Canada
by Cohen, James & Caldera, Sasha
March 2021, Volume 4, Issue 3
- 200-201 Editorial
by Difiore, Mario J.
- 202-209 Managing conduct risk during a pandemic
by Stubbs, Victoria
- 210-221 Compliance lessons in recent Office of Foreign Assets Control enforcement
by Hutten, Ben
- 222-231 The United Kingdom’s client assets regime: Problematic issues of threshold application
by Fernandes, Carl & Bhindi, Kishore
- 232-256 Cloud concentration risk: A framework agent-based model for systemic risk analysis
by Harmon, Richard L. & Vytelingum, Perukrishnen & Babaie-Harmon, Jiyan
- 257-266 US sanctions enforcement focus on mergers and acquisitions
by Debusk, F. Amanda & Chang, Jean
- 267-281 Identifying and mitigating ‘conduct risk’ in algorithmic FICC trading
by Culley, Alexander
- 282-291 Best practices in compliance training
by Weston, Lori & Hoopes, Jennifer
December 2020, Volume 4, Issue 2
- 100-101 Editorial
by Difiore, Mario J.
- 102-109 An oversight framework to keep senior executives in control
by Pike, Richard
- 110-125 Cross-border crosswalk: An overview of Canadian and US banking and consumer financial services regulators
by Abudulai, Suhuyini & Ang, Xiaoling & Goldberg, Eric & Kearney, Thomas
- 126-139 Increasing cybersecurity awareness and fluency for compliance risk management
by Yerzak, E.J. & Farrell, Michael
- 140-166 Applications of machine learning in the identification, measurement and mitigation of money laundering
by Aggarwal, Nikhil & Wareham, Sean & Lehmann, Rasmus
- 167-178 The account review
by Lee, Duane E. & Daly, Michael
- 179-193 The legal and economic implications from recent UK spoofing cases
by Leonard, Greg & Cao, Yan & Haas, Marlene & Mocek, Gregory
September 2020, Volume 4, Issue 1
June 2020, Volume 3, Issue 4
- 292-293 Editorial
by Difiore, Mario J.
- 294-301 Avoiding the floating rate cliff-edge: How asset management general counsels can tackle the LIBOR cessation challenge
by Madell, Jaime A.
- 302-317 Regulation Best Interest: A new standard of conduct for broker-dealers in recommendations to retail customers
by Light, Susan
- 318-324 Conduct risk in anti-money laundering: Implications of when financial institutions get it wrong
by Allen, Heather
- 325-331 Resolution of banks: What kind of scenarios to enhance the credibility and the feasibility of resolution strategies
by Visnovsky, Frédéric
- 332-339 The intersection of compliance and diversity: The interconnectedness of these two disciplines and the implications for the compliance profession
by Stinson-Dacruz, Tina
- 340-358 Understanding the risks and challenges of shell companies in managing AML compliance
by Tucker, Ola M.
- 359-367 Standards of competence for financial advisers: The poor relation in international and regional regulation
by Connell, Matthew
- 368-381 Consumer protection framework in the Kenyan financial services sector: Current state, deficiencies, lessons from the world and possible solutions
by Mkiwa, Halfan
March 2020, Volume 3, Issue 3
- 196-197 Editorial
by Difiore, Mario J.
- 198-207 Embedding ethics in organisations and their operations: a dynamic approach
by Dajani, Jorge & Rossert, Bertrand Andre
- 208-216 Establishing sustainable risk reporting that unlocks trust and organisational value
by Humphrey, Tim
- 217-224 Protecting data in 2020 and beyond: The role of blockchain technology and artificial intelligence in neutralising the growing threat of cybercrime
by Kornitzer, Daniel
- 225-232 Using hotline data to build better board reports
by Penman, Carrie & Burt, Andrew
- 233-246 Ethics in artificial intelligence and machine learning: The importance of opening the dialogue for new processes at your organisation
by Dorsey, Colleen
- 247-254 OFAC sanctions compliance: Insights from recent enforcement actions
by Scott, Ben
- 255-261 The compliance and ethics officer of the future: What skills are necessary?
by Krenitsky, John
- 262-272 The power of the US SEC whistleblower programme: What compliance and regulatory professionals should know
by Mckessy, Sean X.
- 273-285 China’s macroprudential policies: Framework, implementations and implications
by Liu, Kerry
December 2019, Volume 3, Issue 2
- 101-102 Editorial
by Difiore, Mario J.
- 103-117 Financial industry compliance with Big Data and analytics
by Mcglosson, Christina & Enriquez, Marco
- 118-137 A practical approach to culture and conduct risk management
by Ross, James
- 138-146 Reducing the regulatory burden: How can technology revolutionise compliance processes and make complying with multiple regulations more efficient?
by Traversa, Deborah & Toselli, Giacomo
- 147-157 Innovation through regulation: A comprehensive regulatory framework for blockchain-based services and products
by Giannino, Antonio & Di Maio, Damiano & Vianelli, Andrea
- 158-170 The evolving role of compliance: How companies need to enforce their three lines of defence to protect the business
by Hoes, Renata & Gehlert, Karin
- 171-180 Building an effective US-UK sanctions compliance programme: What are the key components?
by Mitchell, Rita D. & Mortlock, David & Osborn-King, Simon
- 181-191 Are financial institutions’ counter-terrorist financing controls fit for today’s challenges?
by Wall, Richard
September 2019, Volume 3, Issue 1
- 5-6 Editorial
by Difiore, Mario J.
- 7-12 Why financial institutions need a master data strategy as a starting point for a RegTech strategy
by Abur, Murat & Murphy, Sarah
- 13-22 Why are digital tools so pivotal in compliance?
by Stenderup, Søren
- 23-28 Charging money laundering based upon a tax offence: No longer a bridge too far
by Comisky, Ian M.
- 29-43 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?
by Hauet, Olivia
- 44-59 Artificial intelligence for regulatory compliance: Are we there yet?
by Butler, Tom & O’Brien, Leona
- 60-66 How distributed ledger technology could solve regulatory problems
by Spouse, Tom & Green, Ben
- 67-75 Changing financial services firms’ behaviour through a duty of care
by Chiu, Iris H.-Y. & Brener, Alan
- 76-92 Implications of the African Union Special Declaration on Illicit Financial Flows for financial services infrastructure in Africa
by Goredema, Charles
June 2019, Volume 2, Issue 4
March 2019, Volume 2, Issue 3
- 197-198 Editorial
by Difiore, Mario J.
- 199-206 Crypto-assets: Commodities under European financial markets law?
by Rirsch, Ralph & Tomanek, Stefan
- 207-219 Governance and remuneration under the Investment Firm Regulation and Directive
by Morrey, David & Ma, Anthony
- 220-231 The human aspects of compliance
by Byrne, Jessica Ramos
- 232-252 How to deal with multiple regulators in multiple jurisdictions
by Meadows, Lloyd & Shingler, Laura
- 253-270 The underwriting and placement passport and Brexit
by Banwo, Adedayo
- 271-283 UDAAP controls for managing risk
by Boccia, Barbara
- 284-292 Jay-Z thrusts SEC subpoena enforcement into the spotlight: A look at recent trends and considerations
by Nathan, Daniel & Wredberg, Nicole & Heidepriem-Baird, William
December 2018, Volume 2, Issue 2
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