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.

 3rd Annual European Compliance and Legal Conference

Board

  • Alastair Stables, Co-Chair

    BAML

  • Bharat Samani, Co-Chair

    BBVA

  • Robin O'Donnell

    Bank of Nova Scotia

  • Alexander Andreadis

    Barclays

  • Benjamin Bair

    BGC Partners

  • Emily Ballisat

    BNP Paribas

  • Jacqueline Joyston-Bechal

    BNY Mellon

  • Dominic Hirons

    Citi

  • Carlos Molinas

    Crédit Agricole CIB

  • James Coulson

    Credit Suisse Securities Europe Limited

  • Robin Oliver

    Daiwa Capital Markets

  • Andrew Sowter

    Deutsche Bank AG

  • Lee Hughes

    Goldman Sachs International

  • Elizabeth Sabell

    HSBC

  • Stephen Mcbride

    ING Group

  • Pierpaolo Monti

    Intesa Sanpaolo SpA

  • Noel Sumner

    Investec Bank plc

  • Belinda Gaynor

    J.P. Morgan Chase Bank, NA

  • Anne Breslin

    Jefferies International Limited

  • Adam Beager

    Kepler Cheuvreux

  • Jeremy Stockwell

    Lloyds Banking Group

  • Richard Brearley

    Macquarie

  • Simon Goodwin

    Morgan Stanley & Co. International plc

  • Sarah Blomfield

    N M Rothschild & Sons

  • Antony Whitehouse

    Natixis

  • Marius Floca

    NatWest Markets

  • Clare Jones

    Nomura

  • Alison Clare

    Northern Trust Corporation

  • Claire Cassar

    Oppenheimer Europe Limited

  • Richard Sheldon

    RBC Europe Limited

  • Neil Kapoor

    Shore Capital and Corporate

  • Stephanie Kiernan

    SMBC Nikko Capital Markets Limited

  • Michael Phillips

    Société Générale

  • Catherine Furey

    Standard Advisory London Limited

  • Sarah Bennett Nash

    Standard Chartered Bank

  • Mitchell Gibb

    Stifel Nicolaus Europe Limited

  • Kevin Taylor

    TD Securities

  • Richard Kennedy

    UBS AG

  • Christian Groehe

    UniCredit Bank AG

  • Michael Hipwell

    Wells Fargo Securities International Limited

  •  
  •