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The Compliance Division leads AFME’s work on Conduct of Business and Regulatory Structure issues, both through direct representations to the relevant authorities and by overseeing the activities of relevant working groups. The aim is to achieve the optimum regulatory framework for financial organisations.

The Compliance Board’s work is led by heads of compliance from AFME members, who also participate in the work taken forward by the specialist groups established to deal with cross-cutting issues, including EU work and other international initiatives. AFME is also a member of the Joint Associations Committee on Structured Products and acts as Secretary to the Financial Services and Markets Legislation City Liaison Group.

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Compliance Division

Peter Beales

Managing Director

peter.beales@afme.eu

+44 (0)20 7743 9309

  • Compliance Board

    James Brown, J.P. Morgan Securities, Chair
    Douglas Tucker, Barclays Capital
    Anthony Whitehouse, BNP Paribas
    Nicholas Child, Citi
    Andrew Sowter, Deutsche Bank
    Richard Levy, Goldman Sachs International
    Richard Brearley, Investec Bank
    Graeme Russell, Morgan Stanley
    Jonathan Westcott, N M Rothschild & Sons
    Simon Thorn, Nomura
    Penelope Tham, RBS
    Richard Sheldon, Royal Bank of Canada Europe
    Will Dennis, Standard Bank
    Shaun Mistry, Standard Chartered Bank
    Penny Partridge, UBS

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