License application investment firm

This form should be used by firms setting up business in an entity in the Netherlands.

Firms with a registered office in third countries need to consider the following options:

  1. If your only activity in the Netherlands is dealing on own account, you may be exempted due to article 10a Exemption Regulation. We recommend you to consider the full text of the exemption. No further action is required.
  2. If your investment firm does not fall under a and does not operate an MTF or OTF, only provides services to professional clients and eligible counter parties or deals on own account and has its registered office in Australia, the United States, Unites Kingdom or Switzerland, you can apply for an exemption. We refer you to the ‘Application exemption investment firms art 10'. For more information we recommend you to consider the full text of the exemption.
  3. If your investment firm does not fall under a or b and does not operate an MTF or OTF and has its registered office in a non EU member state, you need to apply for a license. At this moment it is not possible to obtain a European passport on this license for third country firms.
    -
    If you have retail clients you need to comply with article 2:99a of the AFS
    - If you have only professional clients and eligible counterparties you need to comply with article 2:99b of the AFS.

License application investment firm

N/A

License application investment firm

The AFM charges a fee of €200 per hour, with a maximum fee of €100.000 per application.

Also a fee is required per person that needs to be assessed by the AFM, of €2.900 per suitability test and €700 per integrity test. If the persons have already been tested before by the AFM in similar function, the AFM charges no fees for the suitability test update and/or for the integrity test update.

 

License application investment firm

Via the links below you can download the application form with annexes and other forms. The form with all annexes mentioned in the form should be sent to the AFM by the digital portal or by mail.

We advise you to read the form for application for a MiFID II license.

Digital portal


Search in portal



Login



My portal


You have to log in to access My portal.

More information


Top menu

Taalkeuze / language choice

  

Main menu