We are making good progress in our 1:1 discussion of policies, controls and the availability of resources and look forward to presenting the conclusions in the context of MAR II / MiFID III.
The group met to discuss current regulatory demands on global surveillance functions. It reviewed new BCBS Operational Risk principles and EBA/ESMA suitability guidelines and ranked priorities for SM&CR guidance.
Agenda:
Agenda:
- 16:00 Introductions
- 16:10 Recap of SM&CR surveillance objectives and priorities
- 16:20 Stakeholder engagement, project timing and resource
- 16:40 Key MAR II/ MiFID guidance issues for consideration
- 17:10 Next steps
- 17:30 End
