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- DOC-2012-17
- Applicable from 1 August 2014 to 5 June 2021
- Position DOC-2012-17
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From 28 January 2013 to 31 July 2014 | Position DOC-2012-17
Compliance function requirements
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.
Reference texts
Legal information:
Head of publications: The Executive Director of AMF Communication Directorate. Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02
Head of publications: The Executive Director of AMF Communication Directorate. Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02