Regulatory assurance, redefined
Regulatory assurance for capital markets.
Connect regulatory requirements, controls, evidence, ownership and review in one defensible workflow.
Regulatory Assurance Workspace
RTS 6 • 2026 Review Cycle
ASSURANCE
Requirements
Controls
Evidence
Assessments
Approvals
RTS 6 / Article 15 / Pre-trade controls
Order entry controls and kill functionality
Mapped to accountable owners, controls and review evidence for the current assessment period.
Evidence ready
Linked evidence
3 items
Pre-trade control operating test
Control owner: Electronic Trading • Reviewed 18 Aug
Kill switch exception report
Control owner: Market Risk • Challenged 21 Aug
One connected chain of assurance
From regulatory obligation to accountable approval.
Every conclusion stays connected to the control, evidence, owner and review that supports it.
01
Regulatory Requirement
02
Controls
03
Evidence
04
Assessment
05
Challenge
06
Approval
A more defensible operating model
Assurance shouldn’t be assembled at the point of challenge.
When regulation, controls, evidence and sign-off live across disconnected tools, teams spend their time reconciling rather than assessing.
Traditional RTS 6 process
Regulation → Excel → SharePoint → Email → Word → Sign-off
Cerylis assurance workflow
Requirements → Controls → Evidence → Assessment → Challenge → Approval
Regulatory expectations are evidence expectations
“Key policy documentation was not linked or referenced in some self-assessments.”
Financial Conduct Authority — regulatory commentary
Cerylis addresses this by design
Link regulatory conclusions directly to the controls and evidence supporting them—then retain the challenge and approval history.
Governed intelligence
AI-assisted. Expert-controlled.
Accelerate evidence review, control mapping and assessment narratives while keeping accountable users responsible for review and approval.
Within the workflow, AI can assist with
• Reviewing evidence against requirements
• Identifying gaps and mapping controls
• Drafting assessment narratives for expert review
Capital-markets expertise
Built by capital-markets compliance specialists.
Cerylis is designed around the working realities of MiFID II, MiFIR, RTS 6, algorithmic trading governance, electronic trading controls and regulatory assurance.
Enterprise-grade by principle
Governance extends to the platform itself.
Make oversight practical with role-aware access, auditable activity and clear data-handling boundaries.
Role-based access and accountable ownership
Clear audit history across evidence, challenge and approval
Human oversight for AI-assisted workflows
Flexible deployment and data governance options
Compliance, made defensible
Make your next regulatory assessment defensible by design.
See how Cerylis connects the evidence, ownership and governance behind every conclusion.