183. Investment firms should establish a permanent and effective compliance function to manage …

Investment firms should establish a permanent and effective compliance function to manage compliance risk, and should appoint a person to be responsible for this function across the entire investment firm (the compliance officer). The compliance function, policies and procedures should also be compliant with Article 22 of Commission Delegated Regulation (EU) 2017/565 and ESMA guidelines on the compliance function.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

• EBA - Published by the European Banking Authority at https://www.eba.europa.eu/