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Description: Journal of Financial Compliance is the major journal publishing in-depth, peer-reviewed articles, applied research and case studies on how financial institutions can ensure the implementation of, and adherence to, regulatory requirements and effectively manage compliance and legal risk. Subjects covered include: Integrated compliance, risk and governance systems and controls; compliance risk assessment; updating written supervisory procedures; capital, liquidity and funding regulation; enforcement investigations, actions and sanctions; compliance and ethics culture; the fintech sector and its impact on regulation and compliance; AML; suspicious activity monitoring and reporting; conducting compliance reviews, audits and investigations; compliance technologies; data privacy and data sharing; insider trading and market abuse; conduct risk, codes of conduct; regulatory rulemaking; record keeping requirements; cross border regulation; preparing for and managing regulatory investigations and examinations; fraud prevention, monitoring and detection; anti-corruption and bribery ; building, recruiting, training and managing a compliance department; effective programmes for whistleblowers.
Series handle: RePEc:aza:jfc000
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Content
March 2019, Volume 2, Issue 3
December 2018, Volume 2, Issue 2
- 100-101 Editorial
by Difiore, Mario J.
- 102-110 AML and business ethics: The Caribbean and Latin/South America
by Rodriguez-Autore, Patricia
- 111-120 Investigating potential violations of law, responding to whistleblowers and mitigating associated ethical dilemmas
by Bondi, Bradley J. & Chryssikos, Paul T. & Wheatley, Michael D.
- 121-131 Managing Russia sanctions
by Leddy, Susan
- 132-141 AML/CFT and data privacy regulation: Achieving a peaceful co-existence
by Bugeja, Diane
- 142-147 How the GDPR is influencing risk management
by Negenman, Ebbe
- 148-154 The value of public-private partnerships for financial intelligence
by Riondet, Simon
- 155-164 Compliance challenges in the world of elder financial exploitation
by Shaw, Judith M.
- 165-175 The role of transaction monitoring in ongoing monitoring: AML compliance programmes in Canada
by Simpson, Andrew
- 176-183 Socrates in the C-suite: The need for Socratic dialogue in corporate compliance
by Rusch, Jonathan J.
- 184-190 An introduction to recent trends in terrorism financing
by Teichmann, Fabian M.
September 2018, Volume 2, Issue 1
- 4-5 Editorial
by Unknown
- 6-12 Electronic communications monitoring, the broken windows theory and artificial intelligence
by Florez, German
- 13-21 Effective reporting can support improved decision-making by directors and executives
by Marrazzo, Ross
- 22-36 Financial crime compliance principles in the securities custody business
by Cherel, Yannick & Goffard, Olivier & Gem, Mark & González Pérez, Marta
- 37-52 Did that meeting discuss ‘inside information’? Insights from the USA and EU on when confidential information becomes material
by Milia, Carlo
- 53-59 Stretching anti money laundering resources at smaller institutions
by Mele, Angela
- 60-65 Uncertain times ahead for sanctions
by Tannebaum, Daniel L.
- 66-77 Anti money laundering compliance and the new standards on beneficial ownership
by Arrington, Brian
- 78-90 Bad apples, rotten barrels and rebuilding trust in financial markets
by Yallop, Mark
May 2018, Volume 1, Issue 4
- 292-293 Editorial
by Unknown
- 294-300 Using complaints handling insight to enhance conduct risk assessment
by Afzal, Sheraz
- 301-313 Analysing the role of technology in compliance and regulatory structures
by Fullarton, Gerard
- 314-327 Detecting, investigating and preventing fraud: Can it truly be prevented?
by Kaplan, Mark & Cherry, Elin
- 328-336 Tipping the scales for insider-trading liability: The consequences of Martoma
by Lipman, Alex & Gonzalez, Olivia
- 337-344 Service provider due diligence: An overview
by Mcdonald, Bart J.
- 345-356 Data protection, anti-money laundering and tax evasion: Seeking an equilibrium between public policy and fundamental rights
by Polverino, Fabio
- 357-363 Navigating personal data rights in an increasingly digital and machine world
by Serrato, Jeewon Kim & Elzweig, Marc & Lee, Steven & Gandhi, Andy
- 364-372 Compliance with the owned entity and independent account controller exemptions under CFTC Rule 150.4
by Jackson, Carolyn
- 373-380 AUSTRAC v Tabcorp: A case study in enforcement action by Australia’s financial crime regulator
by Scott, Ben
December 2017, Volume 1, Issue 3
- 192-193 Editorial
by Unknown
- 194-202 Courts as gatekeepers: The perils of defending against whistleblower retaliation suits
by Houck, Robert G. & Berringer, Benjamin A.
- 203-212 Reporting as an SYSC issue: Establishing governance maps for transaction reporting
by Banwo, Adedayo
- 213-226 Interaction of RegTech with EU privacy, AML and payments regimes
by Karantzis, John
- 227-236 Kenya’s deficiencies in its anti-money laundering/counter-terrorist financing framework: An analysis and possible solutions
by Mkiwa, Halfan
- 237-244 Internal audit: Raising the bar in auditing financial crime risk
by Pratt, Samar & Peters, Erika
- 245-254 What faster payments means for anti-money laundering compliance
by Balani, Henry
- 255-266 Managing correspondent banking ML/TF risks: Recent regulatory developments on the risk-based approach model
by Iken, Jan-Gerrit & Agudelo, Alejandro
- 267-275 Challenges in implementing the ‘Fifth Pillar’
by Molloy, Robert
- 276-284 Behavioural patterns in rogue trading: Applying control balance theory to the rogue traders Nick Leeson, Jérôme Kerviel and Kweku Adoboli — Part 2
by Rafeld, Hagen & Fritz-Morgenthal, Sebastian G. & Posch, Peter N.
September 2017, Volume 1, Issue 2
- 100-101 Editorial
by Unknown
- 102-111 Dealing with politically exposed persons: Navigating the changing regulatory environment
by Cogman, Susannah & Head, Elizabeth
- 112-122 Investigations by multilateral development banks: How to manage risks, responses and expectations
by Kiew, Chiawen
- 123-136 Why the DNA of beneficial owners prevent companies from self-submitting beneficial ownership information
by Rodenberg, Anders A. L.
- 137-146 Personal liability: What compliance professionals need to know
by Greenberg, Polly
- 147-155 Compliance meets human resources: Monitoring competence and integrity
by Connell, Matthew
- 156-171 Behavioural patterns in rogue trading: Analysing the cases of Nick Leeson, Jérôme Kerviel and Kweku Adoboli — Part 1
by Rafeld, Hagen & Fritz-Morgenthal, Sebastian & Posch, Peter N.
- 172-182 The position of individuals in regulatory investigations: A changing landscape
by Wilkes, Guy & Kean, Francis
June 2017, Volume 1, Issue 1
- 4-5 Editorial
by Unknown
- 7-16 A culture of learning: Reinforcing a firm’s values, ethics and culture through building a learning environment in compliance
by Roemer, Michael & Buckle, Mark
- 17-26 Predictive analytics in fraud and AML
by Mills, Clinton
- 27-36 Man versus machine: Balancing automation and manual reviews to strengthen risk monitoring
by Mclaughlin, Matthew
- 37-45 Risk impact is in the eye of the beholder: The difficulties faced by the regulator in an offshore financial centre
by Coleman, Paul
- 46-55 AML professionals and frontline staff: Bridging the divide
by Allen, Heather & Archer, Anne
- 56-63 Implementing ethical culture across the Australian financial landscape
by Brandweiner, Richard & Morey, Susan
- 64-71 An intelligence led approach to addressing cyber fraud: Proactive fraud auditing
by Petrie, Elizabeth
- 72-80 The new era of anti-financial crime compliance
by Skandalis, Marios M.
- 81-88 Senior management training, accountability and oversight for anti-money laundering compliance
by Miller, Zachary C. & Kohr, Lauren
- 89-94 Ensuring good governance throughout the product life-cycle: A financial planner’s view
by Bamford, Nick