Volume 3 / Number 4 / Summer 2020 - Journal of Financial Compliance

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.... read more

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.