OtherEuropean Union
MiFID II / MiFIR
The Markets in Financial Instruments Directive II (Directive 2014/65/EU) and the Markets in Financial Instruments Regulation (Regulation EU No 600/2014) constitute the EU's comprehensive framework for financial markets. Effective 3 January 2018, the framework sets rules for investment firms, trading venues, market transparency, and investor protection, and has been amended through a series of Delegated Acts and Regulatory Technical Standards (most recently in 2023) to address emerging market practices and regulatory objectives..
Domains
Enforcement Sanctions and Product Intervention - MiFID II / MiFIR
Algorithmic Trading and Market Structure - MiFID II
MiFIR Transparency and Transaction Reporting
Best Execution Order Handling - MiFID II
Conflicts Inducements and Product Governance - MiFID II
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Frequently Asked Questions
What is MiFID II / MiFIR?
The Markets in Financial Instruments Directive II (Directive 2014/65/EU) and the Markets in Financial Instruments Regulation (Regulation EU No 600/2014) constitute the EU's comprehensive framework for financial markets. Effective 3 January 2018, the framework sets rules for investment firms, trading venues, market transparency, and investor protection, and has been amended through a series of Delegated Acts and Regulatory Technical Standards (most recently in 2023) to address emerging market practices and regulatory objectives..
How many controls does MiFID II / MiFIR have?
MiFID II / MiFIR contains 8 controls organized across 8 domains.
Where does MiFID II / MiFIR apply?
MiFID II / MiFIR is applicable in European Union. Organizations operating in or serving customers in this jurisdiction should evaluate its requirements.
What frameworks does MiFID II / MiFIR map to?
MiFID II / MiFIR has control-to-control mappings with 32 other compliance frameworks in our database. Use our compliance platform to explore these mappings interactively.
How do I get started with MiFID II / MiFIR compliance?
Start by understanding the framework's key controls and domains. Our compliance platform provides AI-powered gap analysis and mapping tools to help you assess your current posture and build a remediation plan.
How ready are you for MiFID II / MiFIR?
Answer 25 questions and get a professional readiness report with gap analysis, maturity scores, and prioritised action items. Results in 5 minutes.