MiFID II Operational Controls readiness, assessment & assurance support

Markets in Financial Instruments Directive II — operational and IT control requirements.

Open TAP assessment Start free trial Talk to TASK

TAP provides readiness and assurance workflows. It does not itself issue statutory certification, regulatory approval, an audit opinion or a SOC report.

Jurisdiction / reach

European Union / EEA financial markets

TAP catalogue tier

Tier 2

Indicative assessment time

75 minutes

Assessment model

Framework workflow includes review

What this service covers

A structured readiness view of MiFID II

TAP combines the framework-specific assessment with governed gap, remediation, evidence and reporting workflows. The exact assessment content remains pinned to its governed TAP release so historical results are reproducible.

Governance and operational-control accountability

Systems resilience and continuity arrangements

Recordkeeping, monitoring and evidence integrity

Outsourcing and third-party operational oversight

Control testing and regulatory-readiness tracking

Commonly relevant sectors

Financial Services

Authoritative reference

Directive 2014/65/EU (MiFID II), consolidated version 6 June 2026

Source authority

European Union / EUR-Lex

Source status

Current with amendments

TAP content release

TAP-ASSESSMENT-LIBRARY-2026.09-R2

Open authoritative source

External standards and regulations can change independently of TAP. TAP keeps the assessment release and the current external-source reference visibly separate so a source update does not silently rewrite historical assessment evidence.

TAP assessment workflow

From framework scope to evidence-backed remediation

1. Scope

Confirm the relevant framework, organisational boundary, responsibilities and evidence owners before assessment.

2. Assess

Complete the governed TAP assessment against the framework-specific question set pinned to the active TAP content release.

3. Identify gaps

Record control gaps, severity, recommendations and supporting evidence without treating a readiness score as certification.

4. Remediate

Assign owners, due dates and remediation actions, then maintain evidence in the governed workspace.

5. Review & report

Use available consultant review and governed reporting features where the selected plan and assessment state permit them.

Framework-specific TAP assessment

Open the internal framework workspace to see the governed question domains, existing assessment state and available start/continue actions for your organisation.

Open assessment workspace

Relevant links