ESMA provides guidance on the compliance function under MiFID II
MiFID Firms
Date:
17 June 2020
On 5 June 2020, the European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, published the
final guidelines on the MiFID II compliance function. These guidelines replace the ESMA guidelines on the same topic issued in 2012 and include updates that enhance clarity and foster greater convergence in the implementation, and supervision, of the new MiFID II compliance function requirements.