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  1. Final Report - Guidelines on certain aspects of the MiFID II compliance function requirements (ESMA35-36-1946)
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Published date: 5 June 2020

Final Report - Guidelines on certain aspects of the MiFID II compliance function requirements (ESMA35-36-1946)

Comparing proposed amendment...
1 Executive Summary
2 Overview
3 Annexes
3.1 Annex I Summary of questions
3.2 Annex II Cost-benefit analysis
3.3 Annex III Opinion of the Securities and Markets Stakeholder Group
3.4 Annex IV Feedback on consultation paper
3.5 Annex V Guidelines on certain aspects of the MiFID II compliance function requirements (paras. 1-92)
1 Scope (paras. 1-4)
2 Legislative references, abbreviations and definitions
3 Purpose (paras. 5-6)
4 Compliance and reporting obligations (paras. 7-12)
5 Guidelines on certain aspects of the MiFID II compliance function requirements (paras. 13-92)
5.1 Responsibilities of the compliance function (Guidelines 1-4) (paras. 14-42)
5.2 Guidelines on the organisational requirements of the compliance function (Guidelines 5-11) (paras. 43-85)
5.3 Competent authority review of the compliance function (Guideline 12) (paras. 86-92)
5.4 Correlation table between the 2020 guidelines and the 2012 guidelines
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