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.
DORA for Investment Firms: What You Actually Need in Place
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 →EMIR Refit Reporting: What Changed and How to Stay Compliant
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 →IFR/IFD Reporting to DNB: K-Factors and What Trips Firms Up
Firm classification, the own funds requirement, K-factors explained, and the DLR/XBRL filing points that most often cause rejections.
Read article →Operationalizing MiFID III: A Readiness Guide
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 →AIFMD Compliance for Dutch Asset Managers: A Practical Guide
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 →MTF Licensing in the Netherlands: What Investment Firms Need to Know
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 →DNB XBRL Reporting for Investment Firms: A Practical Guide
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 →Building a MiFID II Compliance Framework for Investment Firms
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
Free regulatory checklists
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.
MiFID II compliance checklist
50-point checklist for investment firms, from client categorisation to transaction reporting.
- Categorisation, suitability & product governance
- Best execution, costs & inducements
- Transaction reporting (RTS 22/23/24/25)
- Record-keeping & MAR integrity
DNB regulatory reporting checklist
35-point pre-submission checklist for Dutch investment firms under IFR/IFD.
- Firm classification & own funds
- K-factors (AUM, COH, NPR, DTF)
- COREP/FINREP & EBA validation
- XBRL / DLR filing & data quality
Banking readiness checklist
Retail, private, commercial and investment banking: prudential, financial crime, resilience and settlement.
- CRR3 output floor & FRTB (1 Jan 2027)
- CRD6 third-country branches (11 Jan 2027)
- AMLR & AMLA (10 Jul 2027)
- DORA, AI Act & T+1
Insurance & reinsurance checklist
Life, non-life and reinsurance, including the early-2027 Solvency II review and recovery-and-resolution double event.
- Solvency II review (30 Jan 2027)
- IRRD recovery & resolution (30 Jan 2027)
- IFRS 17 & AI Act pricing
- DORA operational resilience
Asset management checklist
AIFMs, UCITS managers and fund start-ups: AIFMD II/UCITS VI, distribution and the SFDR reset.
- AIFMD II / UCITS VI (16 Apr 2026)
- Liquidity management tools & Annex IV
- Retail Investment Strategy
- SFDR 2.0 & fund names
Pension funds checklist
Funds and administrators in the WTP transition: data quality, decisions and participant communication.
- WTP transition (1 Jan 2028 deadline)
- Data quality (Kader Datakwaliteit)
- Invaren & cohort-impact decisions
- AFM communication & IORP II
Investment firms & markets checklist
Investment firms, trading venues, market infrastructure, clearing and custody: market structure and settlement.
- MiFIR review & consolidated tape
- MAR / EU Listing Act (Jun 2026)
- EMIR 3.0 & IFR/IFPR review
- T+1 settlement (11 Oct 2027)
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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