Regulates investment services, trading venues, and investor protection across EU financial markets.
15
Rules extracted
241
Obligations decomposed
16.1x
Avg obligations per rule
🇪🇺 European Union
Jurisdiction
MiFID II and MiFIR together form the backbone of EU capital markets regulation. MiFID II (Directive 2014/65/EU) governs the authorization and operating conditions of investment firms, organizational requirements, conduct of business rules, investor protection, and the regulation of trading venues. MiFIR (Regulation 600/2014) establishes directly applicable rules on pre- and post-trade transparency, transaction reporting, and systematic internalisers. The combined framework covers client categorisation, best execution, product governance, inducements, algorithmic and high-frequency trading, position limits, and the operation of regulated markets, MTFs, and OTFs.
Source
1
Regulation
Extracted
15
Rules
Decomposed
241
Obligations
Decomposition ratio
Each rule is decomposed into an average of 16.1 atomic obligations — the smallest testable units that can be independently violated.
Fully extracted & scored
All 241 obligations have been decomposed, titled, risk-scored, and embedded for semantic matching.
Every obligation in MiFID II / MiFIR is scored across independent risk dimensions:
Obligation Weight
How critical within the regulatory framework
Violation Likelihood
How often breached in practice
Enforcement Evidence
Regulator enforcement history and penalties
Cascade Dependency
How many obligations depend on this one
Don't have a compliance policy yet? AuditDSS generates a complete compliance pack for MiFID II / MiFIR — alone or combined with other regulations your business needs. Every clause is mapped to specific obligations.
High-level commitments and governance framework covering MiFID II / MiFIR requirements.
Step-by-step operational procedures to implement each policy commitment.
Ready-to-use forms, registers, and checklists for day-to-day compliance operations.
Combine MiFID II / MiFIR with other regulations into a single unified compliance pack for your business.
Upload your compliance policy, program manual, or operational document. AuditDSS accepts any text-based document.
Your document is scored against every obligation in MiFID II / MiFIR. Each claim is mapped to the obligation tree and evaluated for coverage.
Receive every gap ranked by risk priority with remediation guidance, enforcement evidence, and cascade impact analysis.
14 rules, 58 obligations
13 rules, 83 obligations
13 rules, 211 obligations
10 rules, 150 obligations
12 rules, 153 obligations
10 rules, 52 obligations
16 rules, 260 obligations
9 rules, 135 obligations
Upload your document and get a risk-scored gap analysis against 241 MiFID II / MiFIR obligations in under 5 minutes.