Insights
Regulatory intelligence for investment firms
Practical analysis of AFM, DNB, and ESMA developments — written for compliance officers and COOs who need clarity, not legal abstractions.
Insights
Practical analysis of AFM, DNB, and ESMA developments — written for compliance officers and COOs who need clarity, not legal abstractions.
DORA has applied since January 2025 and AFM and DNB now supervise it. The five pillars, the register of information, proportionality for smaller firms, and where firms fall short.
Read article →Since April 2024, EMIR reporting runs on ISO 20022 XML with 203 fields and a mandatory UPI. What changed, where reports break, reconciliation, and EMIR 3.0.
Read article →Firm classification, the own funds requirement, K-factors explained, and the DLR/XBRL filing points that most often cause rejections.
Read article →A practitioner's guide to preparing financial institutions for MiFID III and MiFIR 2 — data quality, communications capture, best execution, build-vs-buy, and a pre-go-live validation checklist. Free PDF, no form.
Read & download →The Alternative Investment Fund Managers Directive is the backbone of fund regulation outside the UCITS world. With AIFMD II on the horizon, this guide covers authorisation, delegation, depositary, reporting, and what's changing.
Read article →A practical guide to obtaining AFM authorisation for operating a Multilateral Trading Facility. From application requirements to organisational design — what the process actually looks like.
Read article →Quarterly reporting to DNB is where many investment firms first encounter the gap between regulatory theory and operational reality. Here's how to bridge it.
Read article →MiFID II compliance isn't a one-time project — it's an operating model. This guide walks through the key components and common pitfalls for Dutch investment firms.
Read article →Free downloads
Practical, sourced checklists for the 2027–2028 regulatory agenda: two core compliance checklists plus one readiness checklist per sector. Enter your email to download the PDF.
50-point checklist for investment firms, from client categorisation to transaction reporting.
35-point pre-submission checklist for Dutch investment firms under IFR/IFD.
Retail, private, commercial and investment banking: prudential, financial crime, resilience and settlement.
Life, non-life and reinsurance, including the early-2027 Solvency II review and recovery-and-resolution double event.
AIFMs, UCITS managers and fund start-ups: AIFMD II/UCITS VI, distribution and the SFDR reset.
Funds and administrators in the WTP transition: data quality, decisions and participant communication.
Investment firms, trading venues, market infrastructure, clearing and custody: market structure and settlement.
Each checklist is general guidance, not legal advice. We will occasionally send relevant regulatory updates and you can unsubscribe anytime. See our privacy statement.
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