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.
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
- The Scope and Evolution of Compliance
- Effective flow of personal data post-Brexit
- Discussion note on the framework for prudential and AML supervision for financial institutions across the EU
Alastair Stables, Co-Chair
Bharat Samani, Co-Chair
Bank of Nova Scotia
Crédit Agricole CIB
Daiwa Capital Markets
Lloyds Banking Group
N M Rothschild & Sons
Northern Trust Corp
Oppenheimer Europe Limited
RBC Europe Limited
SMBC Nikko Capital Markets Limited
Standard Advisory London LTD
Stifel Nicolaus Europe