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1-4 of 4
Keywords: Effectiveness
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Journal Articles
Assessing AML system effectiveness across jurisdictions using FATF compliance and risk-based metrics
Journal of Financial Regulation and Compliance 1–26.
Published: 11 September 2026
...Rakibul Sitab; Fraz Iqbal Purpose This paper aims to examine the gap between technical adherence to the Financial Action Task Force ( FATF ) recommendations and the actual effectiveness of anti-money laundering ( AML ) systems across jurisdictions. It specifically investigates how jurisdictions...
Journal Articles
Implementation of MiFID II investor protection provisions by private banks within the European Union
Journal of Financial Regulation and Compliance (2023) 31 (1): 1–15.
Published: 11 April 2022
... and non-commercial purposes), subject to full attribution to the original publication and authors. The full terms of this licence may be seen at http://creativecommons.org/licences/by/4.0/legalcode MiFID Private banks European union Investor protection KYC Effectiveness Suitability...
Journal Articles
Journal of Financial Regulation and Compliance (2021) 29 (2): 202–217.
Published: 18 December 2020
...”, the purpose of this study is to investigate the effectiveness of transparency, suitability, warning and information requirements. How do investment advisers view and embrace these MiFID II requirements? Are differences evident within this group of professionals? Design/methodology/approach In total, 267...
Journal Articles
Journal of Financial Regulation and Compliance (2020) 28 (1): 1–15.
Published: 02 May 2019
... (MiFID I). The authors place critical notes on the effectiveness of some MiFID provisions. Design/methodology/approach The authors have reviewed the Delegated Acts of MiFID I and II, as well as Q&A’s of the European Regulator, ESMA and jurisprudence. The authors aim to add value by facilitating...
