Compliance

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.

Board

  • Alastair Stables, Co-Chair

    BAML

  • Bharat Samani, Co-Chair

    BBVA

  • Robin O'Donnell

    Bank of Nova Scotia

  • Alexander Andreadis

    Barclays

  • Virginie Mennesson

    BNP Paribas

  • Jacqueline Joyston-Bechal

    BNY Mellon

  • Simon Wheeler

    Citi

  • Carlos Molinas

    Crédit Agricole CIB

  • James Coulson

    Credit Suisse

  • Anita Sharma

    Daiwa Capital Markets

  • Paul Murphy

    Davy

  • Andrew Sowter

    Deutsche Bank

  • Lee Hughes

    Goldman Sachs

  • Elizabeth Sabell

    HSBC

  • Emma Badman

    ING

  • Pierpaolo Monti

    Intesa Sanpaolo

  • Noel Sumner

    Investec Bank

  • Belinda Gaynor

    J.P. Morgan

  • Anne Breslin

    Jefferies International

  • Adam Beager

    Kepler Cheuvreux

  • Jeremy Stockwell

    Lloyds Banking Group

  • Richard Brearley

    Macquarie

  • Simon Goodwin

    Morgan Stanley

  • Sarah Blomfield

    N M Rothschild & Sons

  • Antony Whitehouse

    Natixis

  • Marius Floca

    NatWest Markets

  • Clare Jones

    Nomura

  • Anne-Maria Rothenstein

    Northern Trust Corp

  • Rahima Henry

    Oppenheimer Europe Limited

  • Richard Sheldon

    RBC Europe Limited

  • Amber Wood

    Shore Capital

  • Jonathan Falconer

    SMBC Nikko Capital Markets Limited

  • Michael Phillips

    Société Générale

  • Catherine Furey

    Standard Advisory London LTD

  • Ian Sayers

    Standard Chartered

  • Mitchell Gibb

    Stifel Nicolaus Europe

  • Kevin Taylor

    TD Securities

  • Richard Kennedy

    UBS

  • Christian Grohe

    UniCredit

  • Michael Hipwell

    Wells Fargo

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