Guidelines and Technical standards, MiFID - Investor Protection: Compliance table on Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36-1952)

GUIDELINES COMPLIANCE TABLE 19 October 2021 ESMA35-43-2517 Guidelines on certain aspects of the MiFID II compliance function (ESMA35-36- 1952) The following competent authorities comply or intend to comply with ESMA’s Guidelines on certain aspects of the MiFID II compliance function: Complies or intends to comply Competent authority Member States Financial Services and BE Belgium Markets Authority (FSMA) Yes Financial Supervision Commission (FSC) BG Bulgaria Yes CZ Czech Republic Czech National Bank (CNB) Yes DK Denmark Finanstilsynet Yes Bundesanstalt für Finanzdienstlei stungsaufsicht (BaFin) DE Germany Yes Comments The FSMA notified ESMA that they have incorporated the Guidelines on certain aspects of the MiFID II compliance function amongst its supervisory tools by publishing an ad hoc document with reference to these guidelines on its website https://www.fsma.be/sites/default/ files/public/content/FR/circ/2021/f sma_2021_11_fr.pdf The CNB notified ESMA that they incorporated the Guidelines on certain aspects of the MiFID II compliance function in its supervisory practices and published the guidelines in both Czech and English on its website Competent authority Estonian Financial Supervision Authority (FSA) EE Estonia Yes IE Ireland Central Bank of Ireland Yes Hellenic Capital Market Commission (HCMC) Yes EL Greece Bank of Greece Intends to comply* Comisión Nacional del Mercado...