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’):

• C441-to-CIFs-re-the-desk-based-review-results-on-Compliance-Function-Circular_NV_Signed (1)

CySEC’s Data collection exercise

Updates regarding the new prudential framework for Investment Firms (IFD/IFR) and CySEC’s Data collection exercise:

• C442-to-CIFs-regarding-CySEC-data-collection-for-new-prudential-framework-__Signed

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:

• C436-to-Regulated-Entities-re-common-findings-of-the-assessment-of-AML-annual-reports-and-IA-reports-2020-(V2)_Signed (1)

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:

• C437-to-Regulated-Entities-re-common-findings-on-onsite-visits-2019-2020_Signed

MiFIDII Guidelines

ESMA Guidelines (ESMA35-36-1952) on certain aspects of the MiFID II compliance function requirements:

• C447-Circular-re-the-ESMA-Compliance-function-guidelines_NV_Final_Signed (1)

Clients Funds

Enhancement of procedures regarding safeguarding of clients funds held by CIFs:

• C458-προς-ΚΕΠΕΥ-Εγκυκλιος-για-χρηματα-πελατων-αναθεωρημενη-EN_Signed.pdf

Διασφάλιση των κεφαλαίων πελατών

Ενίσχυση των διαδικασιών αναφορικά με τη διασφάλιση των κεφαλαίων πελατών από τις ΚΕΠΕΥ:

• Ε418-Εγκυκλιος-για-χρηματα-πελατων-GREEK_Signed

IFD/ IFR Updates

Updates for the new prudential framework of Investment Firms (IFD/IFR):

• C426-to-CIFs-re-EBA-draft-RTS-and-consultation-papers-on-new-prudential-framework_Signed

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’):

• C441-to-CIFs-re-the-desk-based-review-results-on-Compliance-Function-Circular_NV_Signed.

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:

• C436-to-Regulated-Entities-re-common-findings-of-the-assessment-of-AML-annual-reports-and-IA-reports-2020-(V2)_Signed

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:

• C437-to-Regulated-Entities-re-common-findings-on-onsite-visits-2019-2020_Signed

MiFID II compliance function requirements

ESMA Guidelines (ESMA35-36-1952) on certain aspects of the MiFID II compliance function requirements

• C447-Circular-re-the-ESMA-Compliance-function-guidelines_NV_Final_Signed

IN GREEK

Ενίσχυση των διαδικασιών αναφορικά με τη διασφάλιση των κεφαλαίων πελατών από τις ΚΕΠΕΥ

• Ε458-Εγκυκλιος-για-χρηματα-πελατων-GREEK_Signed