Compliance/Regulation

 

EVIA Compliance Framework

EVIA host a number of forums throughout the year covering key issues in regulation and compliance.

Under the framework of a standing monthly compliance forum, there are both regular activity specific sub-committees and ad-hoc work streams which are task specific.

They exist either for information sharing and to build out process and procedural standardisation, or to create specific and disclosed policy frameworks, protocols and practice standards.

The meetings are more usually in person than teleconferences and are attended by sector leads within member firms, together with invited host regulators, governments, agencies, policy makers, audit and law firms where appropriate.

 

EVIA 2020 Forum Schedule

Compliance Monthly Anti-Money Laundering & FInancial Crime Market Monitoring and MAR Transaction Reporting eFX Platform Compliance
EVIA Chair Member Chair Member Chair Member Chair Member Chair
6th January 2021        
3rd February 2021        
3rd March 2021        
7th April 2021        
5th May 2021        
2nd June 2021        
7th July 2021        
4th August 2021        
8th September 2021        
6th October 2021        
3rd November 2021        
1st December 2021        

To download the schedule, please CLICK HERE.

 

MiFID2.2 and MiFIR 1.2 Review Priorities

  • Trading Venue Perimeter
  • Trading Venue Operating models
  • Open Access
  • Pre-Trade Transparency
  • Post-Trade Transparency
  • Evolution of the OTF


Polices and Procedures

EVIA/LEBA offer a range of regulatory template policies and procedures for members to use as a basis to create their own firm specific polices. If you require any of the below documents, please contact compliance@evia.org.uk


MiFID2 List of Documents

  • Conflicts of Interest Policy
  • Client Entity and Transactional Information
  • Client Categorisation for Local Authorities
  • Inducement
  • Order Execution
  • Reception and Transmission
  • Research
Useful Information


MiFID2 work streams

Working actively with its members, we facilitate a number of forums to collectively discuss, explore and agree a common standard approach to meet various aspects of the regulation.


Weekly Strategy Calls

Monday morning strategy discussions are held to provide high level summaries of the previous week’s events across all markets. Topical items include but not limited to, regulatory consultation, discussion, final policy papers, views and speeches from national competent authorities and the outcomes of market data analysis.

If you wish to participate in these calls, please contact Alex McDonald.


Bi-Weekly Wednesday Discussions

Brief notes from the MiFID2/R discussion are available on request.


Compliance Monthly

Monthly meetings attended by each member firms Heads of Compliance to discuss matters that affect the day to day implementation of regulatory objectives e.g. MAR, Senior Management & Certification Regime, GDPR, Anti Money Laundering and Financial Crime etc

We also invite expert consultants to provide advice on a range of regulatory topics to assist members to address the risks affecting their firm.

Meetings are held every Wednesday between 08:30 and 10:00 (subject to change).


Response to consultation papers and correspondences to the regulators on other matters

EVIA/LEBA works closely with its members through the various working groups to collate views and reach a consensus to respond to consultation or discussion papers collectively.

See the 'Public Documents' to access these responses.