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Compliance

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

Overview

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

Our European Compliance work programme focuses on influencing the European regulatory environment to foster a culture of integrity and effective conduct regulation.

Key Priorities

The Compliance Committee organises its work under a number of key themes:

  • Markets Regulation
  • Corporate Governance
  • Financial Crime, Data and Tech
  • IBOR Transition
  • Sustainable Finance
  • COVID-19
  • Brexit


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Key Documents
2023
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2023

21 July 2023
EBA Consultation Paper on Draft Guidelines on the Benchmarking of Diversity Practices
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13 June 2023
AFME Response to CBI Consultation Paper 153 ‘Enhanced Governance, Performance and Accountability in Financial Services
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2021
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2021

14 October, 2021
AFME / Latham & Watkins Recording requirements for Mobile Devices, Electronic Communications and Videoconferencing
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26 February, 2021
PRA Evaluation of the Senior Managers and Certification Regime
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29 January, 2021
AFME Response to EBA Draft Guidelines on Sound Remuneration Policies
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2020
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2020

23 November , 2020
The Future of the Compliance Control Environment
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6 October, 2020
Joint Letter: Impact of CJEU Schrems II ruling on the framework for international data transfers
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18 May, 2020
AFME Response to JMLSG proposed guidance on Part II Sector 22 – cryptoasset exchange providers and custodian wallet providers
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21 February, 2020
AFME response to the Basel Committee Consultative Document on Introduction of Guidelines on interaction and cooperation between prudential and AML/CFT supervision
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19 February, 2020
AFME Response to the EBA Consultation on the Definition of Material Risk Takers
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2019
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2019

17 December, 2019
LIBOR Transition: Managing the Conduct and Compliance Risks
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29 November, 2019
AFME response to ESMA MAR Review Consultation Paper
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2018
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2018

21 December, 2018
Consultation Response: FCA CP 18/36 Brexit: proposed changes to the Handbook and Binding Technical Standards – second consultation
This response sets out AFME’s views on the FCA’s proposed changes in the context of the EU Withdrawal Act.
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7 December, 2018
Consultation Response: FCA CP 18/28 Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation
This response sets out AFME’s views on the FCA’s proposed changes in the context of the EU Withdrawal Act.
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October, 2018
The Scope and Evolution of Compliance
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April, 2018
Effective flow of personal data post-Brexit
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Financial Crime
AFME with its members is advocating for a robust and effective anti-money laundering and counter-terrorism financing (AML/CFT) regulatory framework that can be consistently applied at global, European and national levels. This is achieved by working closely with the industry experts and liaising with the relevant European/global regulators and stakeholders.
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Watch back the highlights of AFME's Compliance and Legal Conference 2023

For the last seven years, AFME’s European Compliance and Legal Conference has brought together over 200+ professionals for high-level networking and discussion. This event is designed by our members to address the most pressing issues and trends affecting the European compliance and legal industry.

The programme, comprised of specialist keynote presentations, industry expert panel discussions and interactive networking, brings together senior industry stakeholders from across Europe.

Contacts

Louise Rodger

Managing Director, Compliance, Control and Accounting (CCA)

+44 (0)203828 2742

Fiona Willis

Director, Compliance Control & Accounting (CCA) and Technology & Operations (T&O)

+44 (0)20 3828 2739

Michael Naughton

Associate Director, Compliance, Control & Accounting (CCA)

+44 203 828 2750

Chitra Abhani

Associate, Compliance, Control and Accounting (CCA) 

+44 (0)20 3828 2716

Shalini Cautick

Associate, Compliance, Control and Accounting

+44 20 3828 2734
Press Releases
Publications
Consultation Responses
Briefing Notes
Press Releases
Publications
Consultation Responses
Briefing Notes
See all press releases
Press Releases
AFME welcomes Anti Money Laundering Authority’s operationalisation
22 Feb 2024
Press Releases
AFME calls for more consistent ESG Reporting Requirements to help deliver Europe’s Sustainable Finance ambitions
14 Apr 2021
Press Releases
First industry roadmap helps embed sustainable finance into banks’ strategy and governance
10 Sep 2020
See all publications
Publications
Enhancing data quality for effective Surveillance in Capital Markets
23 Sep 2024
Publications
Artificial Intelligence: Challenges and Opportunities for Compliance
25 Sep 2023
Publications
ESG and the Role of Compliance
23 Nov 2022
See all consultation responses
Consultation Responses
AFME response to the FCA’s consultation on proposed amendments to Guidance on the treatment of politically exposed persons (PEPs)
18 Oct 2024
Consultation Responses
AFME response to HM Treasury’s consultation on improving the effectiveness of the Money Laundering Regulations
10 Jun 2024
Consultation Responses
AFME-ISDA Response to FCA CP24/2, Our Enforcement Guide and Publicising Enforcement Investigations – a New Approach – 30 April 2024
30 Apr 2024
See all briefing notes
Briefing Notes
AFME Position Paper on The Application of the EU Pay Transparency Directive to Financial Services – 13 November 2023
22 Nov 2023
Briefing Notes
AFME position paper on key areas for the Anti-Money Laundering Regulation (AML-R) in the context of the trilogue negotiations
20 Jul 2023
Briefing Notes
AFME response to IASB on draft ED IFRS9
4 Jul 2023