- Identification and management compliance risks
- Training
- Checking (client acceptance) files
- External Money Laundering Reporting Officer
- Reporting
Expertise linkages
- Legislation
Article 6 of the MiFID implementing directive
Consultation Guidelines on certain aspects of the compliance function requirements under MiFID II - Literature
Compliance and the compliance function in banks, Basel Committee on Banking Supervision
Corporate governance principles for banks, Basel Committee on Banking Supervision
A best practice model for bank compliance, McKinsey & Company
Dutch Central Bank - Case law