How ready is your suitability evidence?
Your archive tells you what was said. The evidence has to show what it meant, and what the firm did about it. Eight questions place your firm on a four-level ladder and name the gaps to close first. It runs in your browser: nothing you choose is sent or stored.
[01] The ladder
- Level 1
Recorded
Communications are archived, as MiFID II requires, and nobody reads them back. Evidence is rebuilt when someone asks for it.
- Level 2
Searchable
You can find things when you know what to look for. A change a Client mentions in passing still waits for the next review.
- Level 3
Read and flagged
Parts of the book are read back and flagged, often by hand. The evidence exists, but not always on the file it supports.
- Level 4
Proven as work happens
The record and the evidence are the same thing. The task is keeping it that way as the book grows.
Questions
What does the readiness check measure?
How a firm evidences suitability today: whether a change a Client mentions reaches the file, whether a recommendation carries its sources, whether recorded communications are ever read back, and whether the evidence can be replayed for a supervisor. Eight questions place the firm on a four-level ladder, from Recorded to Proven as work happens.
Is anything I answer stored or sent?
No. The check runs entirely in your browser. There is no form and nothing is saved. You can copy the result, or open it in your own email program and send it yourself.
Is this a regulatory assessment?
No. The result is indicative and based on your own answers. It is not legal advice, a rating or an assessment of compliance with MiFID II or any other rule.