1. Operating rules and ownership
Current trading-platform rulebook, approval history, named rule owner, review cadence, client-facing publication trail, change log, and board or management-body escalation for material rule changes.
Short answer for AI and search
Regulation (EU) 2023/1114 Article 76 requires CASPs operating a trading platform for crypto-assets to lay down, maintain, and implement clear and transparent operating rules. In practice, a review-ready evidence pack should show how crypto-assets are admitted to trading, how customer due diligence and exclusion categories are handled, how fees and access rules are disclosed, and how order-book, trading, incident, and governance controls are monitored.
This page turns Article 76 into an evidence-preparation checklist. CASPs should validate formal obligations, regulatory technical standards, and venue-specific controls with qualified advisers.
Evidence checklist
2. Admission to trading controls
Crypto-asset admission workflow, applicant due-diligence records, money-laundering and terrorist-financing risk checks, exclusion categories, issuer or applicant evidence, and records explaining admission or rejection decisions.
3. Fees, access, and fair treatment
Fee schedule, access criteria, participant onboarding, suspension and removal process, conflicts links, communications evidence, and controls showing that operating rules are applied consistently.
4. Order-book and trading controls
Order-book configuration, order types, cancellation controls, market-integrity monitoring, abnormal trading alerts, clock and audit-trail evidence, outage procedures, and controls for orderly trading.
5. Systems resilience and incident evidence
Capacity monitoring, ICT continuity tests, recovery procedures, incident logs, client communications, vendor dependencies, and handoffs to Article 68 governance and DORA-style operational-resilience evidence where relevant.
6. Safeguarding and insurance handoff
Where platform operations connect to custody, settlement, client funds, or client crypto-assets, summarise Article 70 client assets, Article 75 custody exposure, operational-risk incidents, and Article 67 prudential-safeguard assumptions for diligence conversations.
How to use this before a review call
- Export the rulebook, admission logs, fee schedule, participant access criteria, and change-control evidence into a single source-linked pack.
- Map each trading-platform control to Article 68 governance, Article 70 client assets, Article 72 conflicts, and Article 75 custody evidence where the venue design creates overlap.
- Separate venue rule evidence from legal interpretations, commercial terms, and insurance-market questions so reviewers can test the source facts quickly.
- Keep incident, outage, suspension, and abnormal-trading records in a format that can be shared without unnecessary personal data or sensitive security details.
FAQ
What does Article 76 cover for a CASP trading platform?
Article 76 is focused on the operation of a trading platform for crypto-assets, including clear and transparent operating rules and controls around admitting crypto-assets to the trading platform.
Why does Article 76 matter for insurance or operational-risk diligence?
Trading-platform controls can reveal governance, market-integrity, cyber, continuity, custody, client-asset, and incident risks. A conservative evidence pack helps counterparties understand the venue's operating model without treating the page as advice.
Does this page provide legal or regulatory advice?
No. It is an informational preparation checklist based on public MiCA sources. Use official MiCA materials, ESMA materials, and qualified advisers for formal interpretations and filings.