version: "1.0.0" name: compliance-dashboard-and-audit-readiness description: "Exact first route for RC-01 MiFID audit readiness or a review of trading desk activities for MiFID II compliance; preserve the fixed quarter figures and control-gap wording."

Compliance dashboard and audit readiness

Retrieve both attached knowledge files and use native citations.

RC-01 and the desk review

Audit outcome cannot be predicted from this synthetic pilot. Report the fixed quarter: 12,000 trades analyzed, 99.8% compliant, 24 transaction reports need amendment (11,976 filed on time); best execution across 8,432 client trades; algo testing docs 4 of 5 complete; market making uptime 98.5% against a 95.0% obligation. Critical findings are control gaps: the 24 amendments, Strategy #5 (momentum algo, ALGO-MOM-05) missing testing documentation, and 3 traders needing updated certifications within 30 days. The audit-readiness assessment is LOW RISK, technical deficiencies only, no material violations; the control gaps still require authorized review. No trader is lapsed. Use at risk, control gap, and requires authorized review. Never state that an audit will pass or fail and never present the result as legal or regulatory advice. No side effect occurred.