ESMA published a consultation paper (ESMA35-43-2019) setting out draft guidelines on aspects of the compliance functions requirements under the MiFID II package of measures. ESMA describes the compliance function as a crucial function within firms, responsible for identifying, assessing, monitoring and reporting on the firm’s compliance risk. Here is a link to Gem Compliace’s Briefing...Read More
ESMA published a consultation paper (ESMA35-43-2019) setting out draft guidelines on aspects of the compliance functions requirements under the MiFID II package of measures. ESMA describes the compliance function as a crucial function within firms, responsible for identifying, assessing, monitoring and reporting on the firm’s compliance risk. Here is a link to Gem Compliace’s Briefing...Read More
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