+Article 22 3.

Article 22 3.

In order to enable the compliance function referred to in paragraph 2 to discharge its responsibilities properly and independently, investment firms shall ensure that the following conditions are satisfied:

(a) 

the compliance function has the necessary authority, resources, expertise and access to all relevant information;

(b) 

a compliance officer is appointed and replaced by the management body and is responsible for the compliance function and for any reporting as to compliance required by Directive 2014/65/EU and Article 25(2) of this Regulation;

(c) 

the compliance function reports on an ad-hoc basis directly to the management body where it detects a significant risk of failure by the firm to comply with its obligations under Directive 2014/65/EU;

(d) 

the relevant persons involved in the compliance function are not involved in the performance of services or activities they monitor;

(e) 

the method of determining the remuneration of the relevant persons involved in the compliance function does not compromise their objectivity and is not likely to do so.

1. Oversigt

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Titel Regulering

1.1 Referencer

1.2 Identificerede krav

1.3 Relaterede standarder

2. Identificerede krav

Krav
Kilde Krav

3. Relaterede standarder

Standarder
Kilde Krav