AMF diary Conferences & briefings: Compliance officer convention

Compliance officer convention

Published on February 27, 2014

The Compliance officer convention that the AMF organises each year for compliance and internal control officers (RCCIs) and investment services compliance officers (RCSIs) attracts nearly 700 financial professionals working in these areas.

The event aims to facilitate the task of regulatory oversight and raise awareness of the challenges these officers currently face. It also offers an opportunity to maintain a regular dialogue with the AMF.

The discussions cover a variety of topics and are organised as simultaneous workshops.

The issues addressed in 2013:

  • What are the responsibilities of the RCCI and RCSI?
  • One-year anniversary of ESMA: impact of the guidelines and how they link in with AMF regulations.
  • Market oversight by the AMF.

 The issues addressed in 2014:

  • Financial product marketing: how the internet has changed the job of compliance officers.
  • The AMF sanction and settlement procedure. 
  • EMIR implementation, with a focus on reporting and central clearing.

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