Group Discussion

WORKING GROUPS

WG11 - ALCO WEBSITE

This WG is in charge to increase the quality and access to the information of the ALCO website to members.

  • Marie Grillot 

WG16 - COMMUNICATION

This WG is in charge to restore regular ALCO newsletters.

  • Steven Curfs 

WG27 - TRAININGS - HOUSE OF TRAINING

This WG develops the Compliance training materials within the framework of the partnership between ALCO and IFBL. It ensures that trainings are up to date according to legal and regulatory developments. This WG develops the M1, M2 and M3 exams while renewing them regularly and is in charge of corrections and composition of the jury.

  • Hervé Ballone 

  • Soraya Guerin 

WG30 - SPECIALIZED AND AUXILIARY FSPs

The purpose of this WG is to discuss/exchange on the implementation of the regulation impacting the specialized and Auxiliary FSPs and to provide tools/guidelines to apply regulatory requirements.

  • Anne Camille

WG38 - insurance

The objective of the WG is to work on various topics related to the insurance industry (new laws and regulations, guidelines, best practices…).

  • Marie Grillot 

WG40- Responsibility of the Compliance Officer in management companies

The objective of this WG is to define the Compliance function within Management Companies.

  • Giovanni Cataldi 

  • Gérard Lorent 

  • Sophie Dupin 

WG45- Subgroup - EVENTS

This WG is in charge of organizing events.

  • Anna Roehrs 

  • Marie Grillot 

WG45- Subgroup - Round tables

The objective of this WG is to select specific themes that ALCO members regularly face and to facilitate the sharing of experiences, questions, and ideas in a round table format. Summaries are available to all members via the ALCO website.​

  • Anna Roehrs 

  • Xavier Leydier 

WG46 - cOMPLIANCE OFFICERS OF LAW FIRMS

The objective of this WG is to define the Compliance function within Law Firms.

  • Nathalie Bloch 

WG48 - Regulations and news updates on the fight against money laundering and the financing of terrorism (including the 6th Directive)

The objective of this WG is to monitor the development of regulations around the fight against money laundering and the financing of terrorism (AML/CFT), and to deal with current issues related to this area. The role of the WG is also (i) to answer members' questions on AML/CFT and (ii) to get closer to other professional associations concerned by the subject.​

The objective of the WG is to establish practical guidelines around the roles and responsibilities of RR and RC for banks and investment funds.

  • Sylvain Aubry 

  • Marie Bourlond 

WG48 - SUBGROUP 1 - RR/RC

WG50 - The Compliance function of the Transfer Agent and the relationship with the Management Company

The purpose of this WG is to define the Compliance function of the Transfer Agent, to discuss market practices and the legal/regulatory obligations inherent in this function. This WG is also in charge of setting up a "best practice guide" of the Compliance function of the Transfer Agent, as well as dealing with the relationship between the Transfer Agent and the Management Company.​

  • Sundhevy Debrand 

  • Hervé Ballone 

The purpose of this WG is to facilitate discussions and exchanges among Chief Compliance Officers, identifying araising risks and trends in the banking industry. A focus is made on last regulatory inspections underlining new expectations. The group is limited in number to ensure trusted discussions.

  • Vincent Salzinger 

  • Bertrand Parfait 

WG51 - BANKS - CCO Forum

The purpose of the WG is to discuss/comment regulatory changes related outsourcing and to build guidances on the outsourcing process in general covering the following points: - role of the compliance function in the assessment/acceptance/filling of outsourced process ; - compliance monitoring program for oversight on outsourcing (what to look at) ; - good practices KPI/KRI/oversight ; - compliance outsourcing process.

  • Sylvain Aubry 

WG51 - BANKS - OUTSOURCING TECHNICAL FORUM

WG52 - VIRTUAL ASSETS/CRYPTO

The objective of the working group is to establish practical guidelines around virtual assets as defined by the legislation for bank, credit institutions, professional in the financial sector, including virtual assets service providers. Following recent publication by the CSSF, the WG52 has been reestablished to support compliance officers in assessing compliance requirements with digital assets.

  • Biba Homsy

The objective of this WG is to facilitate the sharing of experiences, questions and ideas around ESG subjects.

  • Cécile Liégeois

WG54 - ESG - DISCUSSION FORUM