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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 AI that knows your firm
Reasons across the live EU rulebook and your own policies, KYB data, UBOs, and integrations.
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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.
The framework
What is MiFID II?
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.
Four ways in. One of them is yours.
MiFID II isn't one permission, it's a menu. What you owe the regulator depends on the services you name and the client assets you touch.
You provide investment services: execution, dealing on own account, portfolio management, advice, placing. Full authorisation, €75K to €750K initial capital by scope. The route detailed below.
UCITS management companies and AIFMs providing individual portfolio management or ancillary services add MiFID permissions to the fund licence instead of applying for a fresh one.
You run an APA, ARM or CTP. A dedicated authorisation, supervised by ESMA for most providers since 2022, with its own data-quality and continuity standards.
You serve EU retail or elective professional clients from outside the Union. Article 39 branch authorisation in the member state you enter, with no passport attached.
Not sure which applies? That's the first question the readiness check answers.
Nine services. One authorisation.
Your authorisation is scoped to the services and activities you name from Annex I, and your initial capital follows the heaviest of them.
Initial capital under the Investment Firms Directive: €75K for firms that don't hold client money or securities, €150K for firms that do, €750K for dealing on own account or firm-commitment underwriting. Ancillary services in Section B don't change the floor.
The journey hasn't changed. Your side of it has.
From first assessment to authorisation, with months of preparation compressed into weeks, and the regulator's clock kept clean.
Shown for investment-firm authorisation. The same machinery runs DRSP applications and MiFID top-ups for fund managers.
The traditional route
12–18+ MONTHSWith ComplyBridge
Gap analysis, full policy suite and a validated application dossier: business plan, governance, risk framework, conduct policies, transaction-reporting set-up. Generated from your data, tailored to your permissions.
Fixed by law, not by us. A complete, validated package means fewer RFIs and fewer clock-stops — we track every deadline and keep the application on course.
Suitability, best execution, transaction reporting and product governance, kept current as the rulebook moves. Authorisation is where this page ends, and where most of the platform's life is spent.
Document generation itself takes hours. The pace is set by how ready your inputs are.
The path
From authorisation to ongoing supervision.
Whether you're setting up a new investment firm or consolidating a mature MiFID programme, the path runs through the same four phases.
Conduct, governance and reporting policies pre-mapped to MiFID II and MiFIR articles, populated from your specifics, version-controlled from day one.
License Builder compiles the authorisation dossier, cross-references every requirement, and tells you what's missing before the NCA does.
Suitability, best execution, transaction reporting and product governance pipelines kept current as the rulebook moves, with change alerts and periodic reporting.
Start from the other side: the readiness check maps your current obligations instead of your application, and the same monitoring, policy review and reporting take over from there. See how the ongoing side works →
FAQ
Common questions.
Find out how ready you are.
Two minutes of questions. A gap analysis mapped to MiFID II's actual requirements, yours to keep either way.
Already authorised? See how the ongoing side works →