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DOC-2021-04 Requirements for the Compliance Function
The French Financial Markets Authority (AMF) applies ESMA's orientations regarding MiFID II compliance function requirements. This doctrine aligns with ESMA document ESMA-35-36-1952 to ensure consistent regulatory standards. It serves as the authoritative reference for investment service providers regarding organizational rules for compliance.
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III - Service Providers
III. 1 - Investment Service Providers
III. 1.2. Organizational Rules
Doctrine
Compliance


Requirements for the Compliance Function


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Applicable as of June 6, 2021
Position DOC-2021-04


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Summary
The AMF applies all orientations issued by ESMA concerning "certain aspects of MiFID II related to the requirements of the compliance function" (ESMA-35-36-1952).


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Reference texts


Article L. 533-10 II 2° of the Monetary and Financial Code


Article 312-1 of the AMF General Regulation


Article 22 of Commission Delegated Regulation (EU) 2017/565 of April 25, 2016


Orientations concerning certain aspects of MiFID II related to the requirements of the compliance function
Keywords


Asset Management
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Publisher: The Director of the AMF Communication Department. Contact: Communication Department, Financial Markets Authority - 17, Place de la Bourse - 75082 Paris Cedex 02
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