Compliance Function
Common deficiencies and good practices identified through desk- based reviews regarding certain aspects of the compliance function requirements of the Investment Services and Activities and Regulated Markets Law (‘the Law’):
CySEC’s Data collection exercise
Updates regarding the new prudential framework for Investment Firms (IFD/IFR) and CySEC’s Data collection exercise:
AML / Compliance Function
Findings of the assessment of Compliance Officers’ Annual Reports and the Internal Audit Reports on the prevention of money laundering and terrorist financing:
AML Deficiencies
Common weaknesses/deficiencies and good practices identified during the onsite inspections performed in relation to the prevention of money laundering and terrorist financing:
MiFIDII Guidelines
ESMA Guidelines (ESMA35-36-1952) on certain aspects of the MiFID II compliance function requirements:
Clients Funds
Enhancement of procedures regarding safeguarding of clients funds held by CIFs:
Διασφάλιση των κεφαλαίων πελατών
Ενίσχυση των διαδικασιών αναφορικά με τη διασφάλιση των κεφαλαίων πελατών από τις ΚΕΠΕΥ:
IFD/ IFR Updates
Updates for the new prudential framework of Investment Firms (IFD/IFR):
Compliance Function Deficiencies
Common deficiencies and good practices identified through desk- based reviews regarding certain aspects of the compliance function requirements of the Investment Services and Activities and Regulated Markets Law (‘the Law’):
AML Findings
Findings of the assessment of Compliance Officers’ Annual Reports and the Internal Audit Reports on the prevention of money laundering and terrorist financing:
AML Common weaknesses/deficiencies
Common weaknesses/deficiencies and good practices identified during the onsite inspections performed in relation to the prevention of money laundering and terrorist financing:
MiFID II compliance function requirements
ESMA Guidelines (ESMA35-36-1952) on certain aspects of the MiFID II compliance function requirements
IN GREEK
Ενίσχυση των διαδικασιών αναφορικά με τη διασφάλιση των κεφαλαίων πελατών από τις ΚΕΠΕΥ