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From zero to regulator-ready
See how ComplyBridge walks you through a full MiCA CASP application — from entity setup to final submission package.
See how it works →The only AI that knows your firm
Reasons across the live EU rulebook and your own policies, KYB data, UBOs, and integrations.
Explore capabilities →MiFID II
Investment services, run clean .
From investment-firm authorisation through transaction reporting, best execution, and suitability — ComplyBridge covers the MiFID II obligation map for brokers, asset managers, advisors, and data reporting service providers.
At a glance
€730k
Initial capital for full-service investment firms
T+1
Transaction reporting deadline to the NCA
3
DRSP categories — APA, ARM, CTP
One framework, most of the EU capital-markets rulebook.
MiFID II is the EU's comprehensive framework for investment firms and the trading infrastructure they rely on. It governs everything from authorisation and governance to conduct of business, product oversight, market transparency, transaction reporting, and data reporting services (APA / ARM / CTP).
Most firms in scope treat MiFID II as a decade-old patchwork of systems — a transaction-reporting engine here, a suitability tool there, a best-execution spreadsheet somewhere else. ComplyBridge consolidates the obligation map so that governance, conduct, reporting, and supervision operate off one spine.
Who MiFID II applies to.
The directive casts a wide net across the capital-markets value chain. Most firms touching investment services or data reporting fall under at least one category.
Investment firms
Reception and transmission, execution, dealing on own account, portfolio management, advice, underwriting, and placing.
Asset managers (MiFID top-up)
UCITS and AIF managers providing individual portfolio management or ancillary investment services.
Advisors
Independent and non-independent investment advisors, with separate conduct-of-business expectations under each model.
DRSP providers
Approved Publication Arrangements (APA), Approved Reporting Mechanisms (ARM), and Consolidated Tape Providers (CTP).
Trading venues
RMs, MTFs, and OTFs subject to pre-/post-trade transparency, systematic internaliser rules, and market-making regimes.
Branches of third-country firms
Art. 39 branches serving professional clients or eligible counterparties in the EU.
The recurring obligations we automate.
MiFID II work scales with the trade book and the client base — not with compliance headcount. ComplyBridge is how your team keeps pace.
- Suitability and appropriateness checks with scripted client journeys and evidence capture.
- Best execution policy with live venue monitoring and RTS 27/28-style reporting workflows.
- Transaction reporting (TREM / ARM pipeline) with late-and-errored file remediation.
- Product governance — target market definition, distribution strategy, and outcomes monitoring.
- Inducement and conflicts management with client-disclosure ledgers.
- Transaction cost analysis and ex-ante / ex-post cost disclosures.
From authorisation to ongoing supervision.
Whether you're setting up a new investment firm or consolidating a mature MiFID programme, the path is the same four phases.
Scope & services
Confirm the MiFID permissions you need, the client categorisation model, and the initial capital floor that applies.
License build
Generate the full authorisation dossier — business plan, governance, risk framework, conduct policies, transaction reporting set-up.
Go-live controls
Stand up suitability, best execution, transaction reporting, and product governance pipelines before first trade.
Keep supervisory peace
Ongoing dashboards, periodic filings, inducement reviews, and supervisory-dialogue rhythm.
Frequently Asked Questions
Common questions about MiFID II and how ComplyBridge supports compliance.
MiFID II bites when crypto-assets qualify as financial instruments (tokenised securities, certain derivatives, crypto-asset ETPs). Pure MiCA-scope services — utility tokens, e-money tokens, asset-referenced tokens — are not MiFID scope. We run the assessment in the first session so the right licence is in hand, not both.
MiFID II is the directive — transposed nationally — covering authorisation, conduct, and governance. MiFIR is the regulation — directly applicable — covering transparency, transaction reporting, and third-country access. ComplyBridge treats them as one obligation map; the dashboard doesn't ask you to remember which source a rule lives in.
Yes. DRSP authorisation and ongoing obligations are covered end to end — from the initial application package through transaction reporting validation, data quality monitoring, and the reporting to ESMA that the regime requires.
Integrations read trade and order data from your execution stack, enrich it for reporting fields, and produce the TREM / ARM-ready files. Best-execution analytics run on the same feed, so the venue story and the reporting story stay consistent.