DOC-2021-04 Requirements for the Compliance Function

Printed from a page on the AMF website

Please disable your ad blocker to view this video.

III - Service Providers
III. 1 - Investment Service Providers
III. 1.2. Organizational Rules
Doctrine
Compliance

Requirements for the Compliance Function

Share by email

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

Print

Download
Viewed Version
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).

Download the doctrine

Download the full overview of the doctrine
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
On the same theme

Subscribe to our alerts and RSS feeds
Event Support
Compliance
April 9, 2026

26th Training Day for RCCI and RSCI: Videos of morning interventions and workshops

26th Training Day for RCCI and RSCI: Videos of morning interventions and workshops

AMF Press Release
Compliance
March 31, 2026

The Financial Markets Authority publishes the findings of its SPOT controls on the compliance and internal control systems of management companies

The Financial Markets Authority publishes the findings of its SPOT controls on the compliance and internal control systems of management companies

SPOT Control
Compliance
March 31, 2026

Summary of SPOT controls regarding the compliance and internal control functions of portfolio management companies

Summary of SPOT controls regarding the compliance and internal control functions of portfolio management companies

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