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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
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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Contacts

Louise Rodger

Director, Head of Compliance

+44 (0)203828 2742

Fiona Willis

Associate Director, CCA and Tech & Ops

+44 (0)20 3828 2739

Chitra Abhani

Associate, Compliance, Control and Accounting (CCA) 

+44 (0)20 3828 2716
Press Releases
Publications
Consultation Responses
Briefing Notes
Press Releases
Publications
Consultation Responses
Briefing Notes
See all press releases
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
Press Releases
AFME and Simmons & Simmons publish white paper on conduct risks and client communications during LIBOR transition
23 Jun 2020
See all publications
Publications
ESG and the Role of Compliance
23 Nov 2022
Publications
Anti-Money Laundering Transaction Monitoring in the Markets Sector
20 Oct 2021
Publications
AFME / Latham & Watkins Recording requirements for Mobile Devices, Electronic Communications and Videoconferencing
14 Oct 2021
See all consultation responses
Consultation Responses
AFME-UK Finance Response to HMT Call for Evidence on the Senior Managers and Certification Regime – 31 May 2023
31 May 2023
Consultation Responses
AFME-UK Finance Response to PRA-FCA DP1/23 on the Review of the Senior Managers and Certification Regime – 31 May 2023
31 May 2023
Consultation Responses
AFME/UK Finance Response to PRA CP2/23 Moving Senior Managers Regime Forms from the PRA Rulebook – 28 Feb 2023
23 May 2023
See all briefing notes
Briefing Notes
AFME position paper on amendments to the Anti-Money Laundering Regulation
1 Feb 2023
Briefing Notes
Senior Manager Responsibilities in the Ongoing COVID-19 Situation
24 Jun 2020
Briefing Notes
Discussion note on the framework for prudential and AML supervision for financial institutions across the EU
1 Oct 2018