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Summary of SPOT inspections on the involvement of the compliance function in certain cross-functional processes
Summary of SPOT inspections on the involvement of the compliance function in certain cross-functional processes
This SPOT inspection campaign, launched in 2024, constitutes the first instalment devoted to the compliance function and its role in certain cross-functional processes. Focused on investment services providers (hereinafter "ISPs") carrying out corporate and investment banking (hereinafter "FIB") activities, this exercise will continue in 2025 with a second instalment, this time focusing on traditional banks providing investment advice services on a more limited number of themes. This review forms part of the supervisory priorities announced in 2024 and confirmed for 2025.
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