Compliance

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Compliance

The Compliance division leads AFME’s work on Conduct Regulation.

The Compliance division is led by the AFME Compliance Committee, which comprises EMEA heads of compliance from AFME members.

The Committee provides input to a range of initiatives, with responsibility for leading work on areas such as Conduct of Business, Data Protection and Financial Crime issues. This includes matters relating to firms' relationships with European and national regulatory authorities.

Key Priorities

The Compliance Committee’s current priorities focus on a number of key areas including:

  • Market Conduct, Culture and Accountability, including Corporate Governance, Whistleblower Protection, Competition Law, Markets in Financial Instruments Directive (MiFID), Investor Protection, Market Abuse Regulation (MAR) and Surveillance 
  • Data Protection and e-Privacy
  • Financial Crime, including Anti-Money Laundering, Tax Evasion, Sanctions and Bribery

Key Resources

GDPR: DOES IT CONFLICT WITH OTHER REGULATION FOR BANKS?

AFME's Co-heads of Policy, Richard Middleton and Will Dennis, discuss the implications of GDPR for banks in terms of continuing to meet their wider regulatory obligations.

Contact

Will Denis

Managing Director, Co-Head of Policy Division

+44 (0)20 3828 2683

Richard Middleton

Managing Director, Head of Policy Division

+44 (0)20 3828 2709

Louise Rodger

Director

+44 (0)203828 2742

Aleksandra Wojcik

Associate

+44 (0)203 828 2734