ESMA MiFID II Compliance Consultation and Outsourcing
ESMA MiFID II Compliance Consultation ESMA launched another consultation recently (find it here), as part of its supervisory convergence work plan for 2019. The consultation is about certain aspects and requirements of the MiFID compliance function. This particular supervisory convergence exercise is relevant not only to MiFID II authorised investment firms, but also UCITS management…