Consultation on Guidelines on certain aspects of the MiFID II compliance function requirements

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Type of event
Consultation
Section
Investor protection
Details

Responding to this paper  



ESMA invites comments on this paper and in particular on the specific questions summarised in Annex I. Comments are most helpful if they: 

  • respond to the question stated; 
  • indicate the specific question to which the comment relates; 
  • contain a clear rationale; and 
  • describe any alternatives ESMA should consider. 

ESMA will consider all comments received by 15 October 2019.  



All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’.  

Publication of responses 



All contributions received will be published following the close of the consultation, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publicly disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman. 

Data protection 

Information on data protection can be found at www.esma.europa.eu under the heading Legal Notice. 

Who should read this paper 

This paper is primarily of interest to competent authorities and firms that are subject to Directive 2014/65/EU of the European Parliament and of the Council (MiFID II). In particular, this paper is addressed to investment firms and credit institutions providing investment services and activities, investment firms and credit institutions selling or advising clients in relation to structured deposits, UCITS management companies and external Alternative Investment Fund Managers (AIFMs) when providing investment services and activities in accordance with the UCITS Directive1 and the AIFMD.  

 

Activity Institution Download
Legal and Accountancy Compliance4Business
  • 53005
EVIA
  • 53368
Banking German Banking Industry Committee
  • 53063
Asset Management Amundi
  • 53070
Investment Services AMAFI
  • 53081
Others Austrian Federal Economich Chamber, Division Bank and Insurance
  • 53085
Asset Management BVI
  • 53087
Banking Febelfin
  • 53089
Association of Foreign Banks in Germany (VAB)
  • 53091
Others Centre des professions financières
  • 53095
Banking Bank Gospodarstwa Krajowego
  • 53096
Banking ABN AMRO Bank
  • 53099
Austrian Savings Banks Association
  • 53369
Asset Management European Fund and Asset Management Association
  • 53370
Investment Services Nordic Securities Association
  • 53105
Asset Management Irish MiFID Industry Association
  • 53109
Banking Spanish Banking Association
  • 53111
Banking Italian Banking Association
  • 53113
Banking European Savings and Retail Banking Group
  • 53114
Others Consejo General de Economistas de España
  • 53115
Others NFU - Nordic Financial Unions
  • 53116
Asset Management DUFAS (Dutch Fund and Asset Management Association)
  • 53117
Others AFTI
  • 53118
BIPAR
  • 53120
Banking Association for Financial Markets in Europe (AFME)
  • 53123
Others ESMA Securities and Markets Stakeholder Group
  • 53287