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ESMA has publish a Guidelines on certain aspects of the MiFID II compliance function requirements in order to establish consistent, efficient and effective supervisory practices within the ESFS and to ensure the common, uniform and consistent application of certain aspects of the MiFID II compliance function relating to the requirements in relation to Article 16(2) of MIFID II and Article 22 of the MiFID II Delegated Regulation.

ESMA also expects these guidelines to promote greater convergence in the interpretation of, and supervisory approaches to, the MiFID II compliance function requirements by focusing on a number of important issues, and thereby enhancing the value of existing standards. By helping to ensure that firms comply with uniform regulatory standards, ESMA anticipates a corresponding strengthening of investor protection.

 

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