MiFID II RTS 6
Run RTS 6 as an assurance process, not a document exercise.
Scope requirements by algorithm, link conclusions to controls and evidence, manage 1st Line ownership and 2nd Line challenge, track remediation and maintain the annual assessment record.
24
Information required
Evidence requests awaiting owners
12
Under review
Assessments with Compliance
7
Feedback requested
Challenge returned to 1st Line
38
Reviewed
Completed this cycle
3
Overdue
Items beyond due date
9
Open remediation
Findings requiring action
The challenge
Make annual RTS 6 assurance a connected operating process.
01
Annual process burden
High-effort annual reconstruction obscures the work carried out throughout the year.
02
Disconnected evidence
Controls, testing and support material are separated from the conclusion.
03
Scoping complexity
Applicability varies by algorithm, strategy, venue and control environment.
04
Weak challenge trail
Independent questions and the answers they receive are difficult to evidence.
The assurance workflow
A defensible record from scope to sign-off.
01
Scope
Algorithm applicability
02
Requirement
Article-by-article record
03
Control
Control mapping
04
Evidence
Support the conclusion
05
Assessment
Narrative and ownership
06
Challenge
2nd Line review
07
Remediation
Accountable action
08
Sign-off
Annual record complete
Algorithm-level applicability
Scope once. Apply with precision.
Maintain an algorithm inventory and record applicability by trading strategy, instrument, venue and operational model. Requirements appear only where they matter, with rationale preserved.
Control and evidence mapping
Every conclusion can show its work.
Connect regulatory requirements to controls, then connect controls to testing, operating evidence and the final assessment narrative.
Capabilities at a glance
The operating infrastructure for annual RTS 6 assurance.
Assess
Requirement-level assessment
Article-by-article conclusions.
Scope
Algorithm inventory
A governed algorithm population.
Apply
Applicability and scoping
Requirement relevance with rationale.
Controls
Control library
Reusable structured control records.
Map
Control mapping
Connect controls to obligations.
Support
Evidence & narratives
Evidence-led assessment narratives.
Assist
AI-assisted drafting
Expert-controlled assistance.
Challenge
Compliance challenge
Independent questions and resolution.
Govern
Remediation, dashboards & audit trail
Annual reporting with complete history.
Who it is for
Built for firms accountable for algorithmic trading assurance.
Investment banks • Broker-dealers • Electronic market makers • Algorithmic trading firms • MiFID investment firms engaged in algorithmic trading
Frequently asked questions
RTS 6 assurance in practice.
Can RTS 6 requirements be scoped by algorithm?
How does Cerylis support the annual RTS 6 assessment?
Does AI make the RTS 6 conclusion?
Explore other solutions
MiFID II RTS 6
Make the next RTS 6 assessment defensible by design.