Forms

Applicants for a licence should start by completing the forms and submitting them with the checklist and accompanying management letter via Cryptshare and adressing it to crypto@afm.nl.

General guidance for submitting the application

A good quality documentation package will reduce the need for iterations and enable a more efficient authorization procedure for both the AFM and the applicant. The authorisation form should focus on clear argumentation on how the applicant complies with MiCAR-rules and include specific references (page numbers) to supporting documentation to evidence this claim.

Forms

CASP authorisation: document overview

• Cover note
o Management letter
o Attention points
o Documentation overview

• Authorisation form CASP-license, including (based on draft RTS):
o General information
o Programme of operations
o Governance arrangements
o Risk management and compliance, incl. IT/DORA*
o Business continuity
o Segregation of funds and crypto-assets
o AML (Wwft), Sanctions (Sanctiewet), incl. TFR**
o Prudential safeguards and qualifying holdings (DNB)

•Checklist CASP-license application

* CASPs are in scope of the Digital Operational Resilience Act, which applies per 17 January 2025, so we expect CASP’s are already preparing. MiCAR also directly refers to DORA in some areas.

** We expect updated AML & Sanctions-policy and SIRA, including information on TFR-compliance

CASP-notification

• CASP-notification form

• Checklist CASP-notification

Suitability and reliability assessment

Persons in charge of day-to-day operations and members of the supervisory board of CASP’s will be assessed based on the requirements for Group B in the ‘Beleidsregel geschiktheid 2012’. For the suitability and reliability assessment (i.e., Fit & Proper testing), applicants must submit the following documentation for every member of the board of directors (executive) and every supervisory board member (non-executive) of the CASP:

• Prospective appointment notification form

• Integrity screening form (only if not previously screened by the AFM or DNB or in case of new facts after previous screening)

• Declaration no antecedents (only if previously screened by the AFM or DNB, to state no new integrity related facts have occurred since then)

• Suitability matrix for policy makers

• Suitability matrix for supervisory board members (if applicable)

• Standardized curriculum vitae

• Copy ID

• Considerations regarding appointments

• Job profile

• Criminal records extract (if the person to be assessed has lived outside the Netherlands at any time in the last 8 years)