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Conference The Three Functions in the Financial Sector CSSF objectives for the Working Group Claude SIMON. ° Promote cooperation between professional organizations - ongoing dialogue - mutual understanding

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Conference the three functions in the financial sector cssf objectives for the working group

Conference

The Three Functions in the Financial Sector

CSSF objectives for the Working Group

Claude SIMON


Conference the three functions in the financial sector cssf objectives for the working group

° Promote cooperation between professional organizations

- ongoing dialogue

- mutual understanding

° Understand the commonalities, differences and interactions between Compliance, Risk Management, Internal Audit

° Translation of High Level Principles defined by the authorities into day-to-day management

- take on board the industry's point of view

- different solutions for different types of organizations and business models

- contribute to a better understanding of rules

- promote the importance and efficiency of the 3 functions

- contribute to a more consistent application of rules

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Conference the three functions in the financial sector cssf objectives for the working group

Forthcoming regulation: Capital Regulatory Directive, MIFID, Market Abuse Directive- seek further input from the industry for better impact assessment- develop structured dialogue with the supervisor- foster ongoing dialogue between professional organizations

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