Print

Policy III - Providers Compliance function requirements

Abstract

The AMF applies the ESMA guidelines on the compliance function (ESMA/2012/388). These guidelines are integrated in a Position and aim to outline the compliance function requirements that apply to investment services providers. They provide clarifications on responsibilities, organisational requirements, and the methods for assessment of this function by the regulator.

Guidelines on certain aspects of the MiFID compliance function requirements (ESMA/2012/388)

Table des matières de la doctrine

Legal information
Head of publications: Florence Gaubert, Executive Director of AMF Communication Directorate.
Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02