MiFID II compliance function requirements

Topic area:
Status: 04.08.2021 |
Archiviert
Initiative
Official name
Guidelines On certain aspects of the MiFID II compliance function requirements
Type
Guidelines
Level 3 / Other
Initiator
ESMA
Submitted
15.07.2019
Doc. code
ESMA35-36-1952
Summary
Status
Status

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Current version
Final version
06.04.2021
Next step
Entry into force and application
Entry into force

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Application date

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Scope
Relevant for

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Associated initiatives
Level 1
MiFID II (binding, Main version, EU)
Level 2
Organisational requirements and operating conditions for investment firms (binding, Supplement, EU)
Regulations concerning investor protection (binding, Supplement, EU)
MaComp (binding, Supplement, DE)
Level 3 / Other
Recommendation for the improvement of the Compliance function (non-binding, NL)
Update of the organizational circular WAG 2018 (binding, AT)
Responsibilities in relation to AML/CFT (binding, EU)

Source: ESMA, ESMA35-36-1952, 2021