License application investment firms based on article 2:99a or 2:99b Wft

This service should be used by firms with a registered office in third countries (except Australia, the United States or Switzerland) who wish to offer their investment services in the Netherlands. It is not possible to obtain a European passport on this license.

Firms 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 1. and does not operate an MTF or OTF, only provides services to professional clients and eligible counter parties and has its registered office in Australia, the United States 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.

 

License application investment firms based on article 2:99a or 2:99b Wft

N/A

 

License application investment firms based on article 2:99a or 2:99b Wft

The AFM charges a fee of €200 per hour, with a maximum 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 firms based on article 2:99a or 2:99b Wft

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 regular mail or AM_teamA@afm.nl.

We advise you to read the application form for a 2:99a or 2:99b license.

 

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