Assess your compliance with MiFID II (Directive 2014/65/EU) and MiFIR (Regulation (EU) 600/2014). This mifid ii compliance checklist covers authorisation and governance, conduct of business, suitability and ESG preferences, product governance, conflicts of interest, mifir transaction reporting, market transparency, investor protection, and algorithmic trading and market abuse surveillance. Generates a scored assessment with NCA-ready remediation guidance.
MiFID II 2014/65/EUMiFIR (EU) 600/2014EU Financial ServicesFree · No account
1Firm Information
2MiFID II / MiFIR Assessment
Who does MiFID II apply to? Investment firms, credit institutions providing investment services, and certain data reporting services providers across the EU. The UK retains an equivalent (but increasingly divergent) MiFID framework under the FCA. This checklist supports mifid ii investment firm compliance across all core pillars.