MiFID II — Markets in Financial Instruments Directive II (Investment Services Conduct)

MiFID II — Markets in Financial Instruments Directive II (Investment Services Conduct) — 100% of in-scope requirements covered.

4 requirements · 4 in scope (4 enforced). The 100% is weighted over the in-scope base.

MiFID II: requirement → the KYE™ artefact that enforces it

Demo data

You learn: Which requirements KYE™ enforces at runtime and with which artefact. You can: Walk the requirements.

  1. art24-best-interest · enforced

    Acting in the client's best interest (Art. 24): an AI-generated decision proceeds only under recorded named…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 36 governedui

  2. art25-suitability · enforced

    Suitability & appropriateness (Art. 25): the suitability basis is recorded as a mandate / due-diligence check…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 12 purpose permission

  3. art27-best-execution · enforced

    Best execution (Art. 27): a trade recommendation proceeds only with a recorded mandate check and named…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 25 edge governance

  4. recordkeeping-basis-of-advice · enforced

    Recordkeeping & basis of advice: replay-provable provenance of the basis on which an AI-assisted decision…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 13 resilience loop

How this widget is built
Demonstrates
KYE™ Compliance Mapping Rail™
Components
  • Framework requirement (clause)
  • Coverage status
  • KYE™ enforcement artefact (event, decision-record field, Evidence Pack™ entry)
Flow
Clause → status → the KYE™ artefact that enforces it, enforced requirements first. Architecture diagram
Used on

Source: Directive 2014/65/EU (MiFID II) and Regulation (EU) 600/2014 (MiFIR) govern the provision of investment services in the EU — investment advice, discretionary portfolio management, reception and transmission of orders, and execution of orders. They impose acting honestly, fairly and professionally in the best interests of the client (Art. 24), suitability and appropriateness assessment (Art. 25), best execution (Art. 27), and recordkeeping of the basis of advice and orders. KYE Protocol™ governs whether an AI-assisted investment decision/action is within mandate, authorised, evidenced, and final at the action boundary, and proves the basis. KYE™ does not produce investment intelligence, perform the suitability assessment itself, judge whether a recommendation is correct, or act as an investment adviser. · License: MiFID II (Directive 2014/65/EU) is EU legislation published in the Official Journal of the European Union. KYE™ registry cites its conduct articles for mapping purposes only.

By category

CategoryReqsEnforcedDesignedAdvisoryDeferredCoverage
Acting in the client's best interest (Art. 24)11000100%
Suitability & appropriateness (Art. 25)11000100%
Best execution (Art. 27)11000100%
Recordkeeping & basis of advice11000100%

Every requirement → the KYE™ artefact that enforces it

IDTitleStatusKYE™ enforcement
mifid-ii.art24-best-interestActing in the client's best interest (Art. 24): an AI-generated decision proceeds only under recorded named authorityenforcedrule_packs: kye:rule-pack:investment-decision-authority
constitution_refs: constitution/36-GOVERNEDUI.md
mifid-ii.art25-suitabilitySuitability & appropriateness (Art. 25): the suitability basis is recorded as a mandate / due-diligence check before the actionenforcedrule_packs: kye:rule-pack:investment-decision-authority
dictionaries: internal
constitution_refs: constitution/12-PURPOSE-PERMISSION.md
mifid-ii.art27-best-executionBest execution (Art. 27): a trade recommendation proceeds only with a recorded mandate check and named authorityenforcedrule_packs: kye:rule-pack:investment-decision-authority
constitution_refs: constitution/25-EDGE-GOVERNANCE.md
mifid-ii.recordkeeping-basis-of-adviceRecordkeeping & basis of advice: replay-provable provenance of the basis on which an AI-assisted decision proceededenforcedrule_packs: kye:rule-pack:investment-decision-authority
dictionaries: internal
constitution_refs: constitution/13-RESILIENCE-LOOP.md

Canonical KYE™ surfaces referenced on this page: KYE Protocol™.