Application investment firm section 10

Investment firms with their registered office in Australia, the United States or Switzerland that only offer services professional clients or eligible counterparties or perform dealing on own account are exempt from the requirement to obtain a license in the Netherlands. The need to be registered with their local supervisor regarding these services or activities. For investment firms with their registered office in the United Kingdom, it will be possible to apply for an exemption conditional to a no deal Brexit.

Registration requirements
However to offer investment services in the Netherlands a registration is required. To be registered it is required that:

  • The provision of the investment services is subject to supervision by a supervisory body in the country of the firm's registered office, such as for example the SEC, FCA, FINMA, and ASIC, but also SRO’s such as CFTC, FINRA. Please note that PolyReg and VSV in Switzerland do not qualify as such as they currently only supervise anti money laundering activities.
  • A Notification Form for an exemption is filed with the AFM. For UK firms a different notification form is needed. Both you'll find in the tab 'Apply'.
  • A certificate of supervised status from the supervisory body is submitted to the AFM prior to the provision of investment services in the Netherlands.

 

Other remarks concerning third country investment firms
If the activities are only dealing on own account, a general exemption may be applicable. Trading needs to comply with article 10a of the Exemption Regulation. In that case there is no need for notification with the AFM.

Investment firms with their registered office in other countries than Australia, the United States or Switzerland need to obtain a license in the Netherlands. Therefore we refer you to the License application investment firm.

Application investment firm section 10

To offer investment services in the Netherlands  a  registration is required. To be registered it is required that:

  • the provision of the investment services is subject to supervision by a supervisory body in the country of the firm's registered office

  • a certificate of supervised status from the supervisory body is submitted to the AFM prior to the provision of investment services in the Netherlands.

Application investment firm section 10

The AFM charges €4,400 for this application.

 

Application investment firm section 10

Via the links below you can download the application forms of the AFM.

You must be logged in to be able to fill out this application. Please choose you login method in the menu at the right. After login you will be redirected to this screen.

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