In order to comply with points (a) and (b) of this paragraph, the compliance function shall conduct an assessment on the basis of which it shall establish a risk-based monitoring programme that takes into consideration all areas of the investment firm's investment services, activities and any relevant ancillary services, including relevant information gathered in relation to the monitoring of complaints handling.
Afin de permettre à la fonction de vérification de la conformité visée au paragraphe 2 d'exercer ses responsabilités de manière appropriée et indépendante, les entreprises d'investissement veillent à ce que les conditions suivantes soient remplies: