Proof of Concepts

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Art. 66Final

CASP Honest, Fair & Professional Conduct Manager

Demonstrates Art. 66 requirements for honest, fair, and professional conduct including pricing transparency, risk warnings, environmental impact disclosure, and conditional white paper linking

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Art. 4Final

Offering Cancellation & Refund Manager

Demonstrates Art. 4 and Art. 14 requirements: managing crypto-asset offering cancellation and ensuring refunds are completed within 25 calendar days

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Art. 70Final

CASP Conflicts of Interest Disclosure Workflow

Demonstrates Art. 70 requirement to identify, document, and disclose conflicts of interest to clients before providing services. Models five conflict types: proprietary trading, dual capacity, client vs client, employee incentive, and third-party inducement. Includes annual policy review tracking and client acknowledgment workflow.

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Art. 50Final

E-Money Token Whitepaper Validator

Validates E-Money Token whitepapers against MiCA Art. 50-51 requirements, detecting interest prohibition violations and mandatory content gaps

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Art. 87Final

Inside Information Trading Embargo Manager

Demonstrates Art. 87 requirements for inside information identification, access control, embargo enforcement, and violation detection

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Art. 85In Prüfung

Significant CASP Threshold Monitor

Tracks daily active users and notifies when a CASP reaches the 15M user threshold (Art. 85), triggering a 2-month NCA notification deadline.

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Art. 12Final

White Paper Modification & Version Control Manager

Demonstrates Art. 12 requirement to detect material changes in published white papers, notify NCA within 7 working days, and maintain version history for 10 years

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Art. 22Final

ART Own Funds Requirement Validator

Validates ART issuers' own funds requirements per Art. 22 (minimum EUR 350K or 2-3% of 6-month rolling reserve average)

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Art. 10In Prüfung

Crypto-Asset Offering Result & Safeguarding Tracker

Demonstrates Art. 10 requirement for publishing offer results and safeguarding raised funds/crypto-assets in custody

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Art. 39Final

ART Redemption Rights Portal

Demonstrates Art. 39–40 redemption rights, issuer-defined SLA processing, and fee compliance validation for Asset-Referenced Tokens

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Art. 74Final

CASP KYC/CDD Onboarding Workflow

Demonstrates customer due diligence (CDD) workflow for Crypto-Asset Service Providers per Art. 74, with automated risk scoring and 5-year record retention tracking per Art. 75

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Art. 43Final

ART Significance Threshold Assessor

Assess whether an Asset-Referenced Token meets MiCA's 'significant' designation via 7-criteria framework (Art. 43)

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Art. 79Final

CASP Placing & Arranging Crypto-Assets

Demonstrates Art. 79 requirements for CASPs arranging crypto-asset placements: pre-agreement communications with issuers, pricing transparency, conflict-of-interest disclosure, and compliance validation.

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Art. 73Final

CASP Operational Resilience & Business Continuity Monitor

Demonstrates Art. 73 operational resilience requirements for critical function RTO/RPO planning, testing, and incident response

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Art. 4(1)Final

Crypto-Asset Offering Eligibility Checker

Determines whether a crypto-asset offering to EU markets requires a white paper under MiCA Art. 4, or qualifies for exemptions (Art. 4(2)) or scope exclusions (Art. 4(3))

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Art. 76Final

CASP Execution-Only Order Service

Demonstrates compliance framework for execution-only and order transmission services (Art. 76-77). Records all orders, monitors best execution quality, and tracks compliance metrics.

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Art. 81Final

CASP Suitability Assessment for Investment Advice

Demonstrates Art. 81 requirement to assess client suitability before recommending crypto-asset investment advice, including client profiling, mandatory warnings, suitability reports, and 2-year periodic review requirements

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Art. 68(9)In Prüfung

CASP Record Keeping & Audit Trail Manager

Demonstrates Art. 68(9) requirement to maintain CASP records (transactions, communications, compliance actions, client instructions) for minimum 5 years with complete audit trails and searchability by client ID, record type, and date range.

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Art. 68In Prüfung

CASP Governance & Fitness & Propriety Assessment

Demonstrates MiCA Art. 68 management body fitness & propriety assessment. Models one illustrative approach to operationalizing Art. 68's qualitative requirements via scoring thresholds (not regulatory mandates).

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Art. 72In Prüfung

CASP Conflicts of Interest Manager

Demonstrates Art. 72 requirement to identify, prevent, manage, and disclose conflicts of interest, with annual review tracking

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Art. 72(1)Final

CASP Conflicts of Interest Register

Demonstrates Art. 72(1)-(4) requirement to identify, document, mitigate, and disclose conflicts of interest to clients before service provision

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Art. 48Final

EMT Safeguarding & Compliance Validator

Demonstrates MiCA Art. 48-56 requirements for EMT issuer eligibility, redemption rights enforcement, safeguarding asset composition, and significant EMT classification

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Art. 23In Prüfung

ART Reserve Composition Validator

Demonstrates Art. 23 reserve composition requirements for Asset-Referenced Tokens: 60% overnight deposits minimum, no crypto-assets, 10% institutional concentration limit, and currency matching

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Art. 68Final

CASP Client Asset Segregation & Safeguarding

Demonstrates Art. 68 requirement to segregate client crypto and fiat assets from CASP's own funds, with annual compliance statement generation and insurance coverage validation per Art. 70.3.

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Art. 88Final

Market Abuse Detection & STOR Report Builder

Demonstrates detection of wash trading and pump-and-dump patterns (Art. 88, 91) and generation of Suspicious Transaction & Order Reports per Art. 92

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Art. 74In Prüfung

CASP KYC Risk Scorer

Customer Due Diligence & risk assessment dashboard for crypto-asset service providers. Calculates risk score, determines CDD level (simplified/standard/enhanced), and tracks 5-year record retention per Art. 74–75.

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Art. 35Final

ART Own Funds Monitor

Dashboard demonstrating Art. 35 own funds requirement calculations for Asset-Referenced Token (ART) issuers under MiCA. Shows 6-month rolling average reserve, compliance status, and support for significant ART (Art. 43/45(5)) toggle.

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Reg. EU 2023/1113 (Travel Rule)Final

Travel Rule Message Builder — IVMS101 Format

Build and validate IVMS101-compliant Travel Rule messages per Regulation (EU) 2023/1113

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Art. 9Final

Retail Withdrawal Portal — 14-Day Right & Refund Tracking

Demonstrates Art. 9 (14-day right of withdrawal) and Art. 13(2) (refund deadline tracking) for retail purchasers of crypto-assets under Title II

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Art. 69Final

CASP Complaint Handling & SLA Compliance

Demonstrates Art. 69 complaint handling procedures with SLA tracking (5 business days acknowledgment, 15 business days response, extensible to 35 with client notification) and Art. 75 5-year record retention requirements.

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Art. 67Final

CASP Own Funds Calculator

Demonstrates Art. 67 requirement to calculate minimum own funds for crypto-asset service providers based on service type and annual fixed overhead

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Art. 53Final

EMT Redemption Portal

Demonstrates Art. 53 — On-demand EMT redemption at par value (1:1) with 1 business day SLA compliance tracking

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