Regulatory and governance reference for institutional investment teams
Practical guidance on BaFin MaRisk, ESMA 2024, EU AI Act, and GDPR, written for CCOs, CROs, and quant practitioners at DACH funds, not for compliance lawyers.
Available papers
What ESMA and DACH Regulators Expect from AI-Assisted Investment Analytics
Six compliance properties, BaFin model governance applied to AI, ESMA risk categories, EU AI Act Annex III, GDPR data residency. 30-question CCO checklist.
EU AI Act · ESMA 2024 · BaFin · FINMA · FMA · GDPR
Was ESMA und die DACH-Regulatoren von KI-gestützter Investmentanalyse erwarten
Sechs Compliance-Eigenschaften, BaFin-Modellgovernance auf KI angewendet, ESMA-Risikokategorien, EU AI Act Anhang III, DSGVO-Datenlokalisierung. 30-Fragen-Checkliste.
EU AI Act · ESMA 2024 · BaFin · FINMA · FMA · DSGVO
BaFin Model Governance Framework: Implementation Guide for AI Systems
A practitioner's guide to applying BaFin's model governance expectations to AI-assisted quantitative workflows in DACH asset management.
BaFin MaRisk · Basel III · EU AI Act
ESMA AI Guidance: Implementation Checklist for Investment Firms
Practical implementation checklist derived from ESMA's May 2024 public statement on AI in investment services.
ESMA May 2024 · MiFID II · EU AI Act
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This material is provided for informational purposes and does not constitute legal advice.