Assessment framework · Finance & Risk
MiFID II compliance assessment
MiFID II is the EU framework governing investment firms and trading venues, covering investor protection, conduct, product governance, best execution and transaction reporting.
Check investment-firm conduct and reporting readiness against MiFID II.
What it covers
Inside a MiFID II assessment.
Celeredge checks investment-firm readiness against the MiFID II conduct, product-governance and reporting obligations, and ranks the compliance gaps.
- Scored on MiFID II's own scale — not a generic rubric
- Every score traceable to the client's own evidence
- Gaps ranked by severity, ready to become the plan
- A board-ready slide deck and detailed report, generated automatically
How it works
From the client's documents to a board-ready deck.
1 · Evidence in
Upload the client's documents — policies, reports, data. An AI interviewer asks targeted follow-ups to fill anything missing.
2 · Scored on the standard
Every dimension is scored on the framework's own scale, with each score traceable to the evidence behind it — gaps ranked by severity.
3 · Board-ready out
A board-ready slide deck and HTML report are generated automatically — executive summary, maturity landscape and a sequenced plan.
Questions
MiFID II assessment — FAQ
What is MiFID II?
MiFID II is the EU framework governing investment firms and trading venues, covering investor protection, conduct, product governance, best execution and transaction reporting.
What does a Celeredge MiFID II assessment deliver?
An evidence-based maturity or readiness assessment scored on MiFID II's own scale, with gaps ranked by severity and an auto-generated, board-ready slide deck and detailed report — every score traceable to the evidence behind it.
How does the MiFID II assessment work?
Clients upload their own evidence — policies, reports and data. An AI interviewer asks targeted follow-ups to fill anything missing, the platform scores against the framework, ranks the gaps, and generates the deliverables.
More Finance & Risk frameworks
Related assessments
Finance Function & FP&A Maturity
Score the finance function and FP&A across planning, reporting and partnering.
Enterprise Risk Management (COSO ERM)
Assess enterprise risk management against the COSO ERM framework.
Operational Resilience (EU DORA)
Gauge digital operational resilience readiness against EU DORA.
FCA Operational Resilience (PS21/3)
Map important business services and impact tolerances to FCA PS21/3.
FCA Consumer Duty
Assess Consumer Duty outcomes — products, price and value, understanding and support.
Senior Managers & Certification Regime (SM&CR)
Check SM&CR readiness across responsibilities, certification and conduct rules.
UK Corporate Governance Code (FRC)
Evidence compliance with the FRC UK Corporate Governance Code.
AML & Financial Crime
Assess anti-money-laundering and financial-crime controls against regulatory expectations.
PSD2 & Open Banking
Assess payment-services and open-banking compliance against PSD2.
BCBS 239 Risk Data Aggregation
Rate risk-data aggregation and reporting capability against BCBS 239.
Solvency II
Assess insurer capital, governance and reporting readiness against Solvency II.
IFRS 9 / IFRS 17
Check accounting readiness for IFRS 9 financial instruments and IFRS 17 insurance contracts.
ISO 37001 / 37301 Anti-Bribery & Compliance
Assess anti-bribery and compliance management systems against ISO 37001 and ISO 37301.
See a MiFID II assessment on real data.
We'll run MiFID II live and score it from a client's own documents.