1. European
  2. ESMA - European Securities and Markets Authority
  3. Final Reports
  4. 2020
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  1. Final Report - Guidelines on certain aspects of the MiFID II compliance function requirements (ESMA35-36-1946)
  2. 3 Annexes
  3. 3.5 Annex V Guidelines on certain aspects of the MiFID II compliance function requirements (paras. 1-92)
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Version date: 5 June 2020 - onwards

3.5 Annex V Guidelines on certain aspects of the MiFID II compliance function requirements (paras. 1-92)

Comparing proposed amendment...
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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