1. European
  2. ESMA - European Securities and Markets Authority
  3. Final Reports
  4. 2020
Date-stamp loading
  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)
  4. 5 Guidelines on certain aspects of the MiFID II compliance function requirements (paras. 13-92)
Previous Next

5 Guidelines on certain aspects of the MiFID II compliance function requirements (paras. 13-92)

13. As part of its responsibility for ensuring that the firm complies with its obligations under MiFID II, senior management must ensure that the compliance function fulfils the requirements set out in Article 22 of the MiFID II Delegated Regulation.

Comparing proposed amendment...
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
Previous Next