Regulatory Authorisation & Licensing for Investment Firms
ABM Global Compliance prepares and manages investment firm authorisations under MiFID II across the EU. From permission scoping and jurisdiction strategy to complete application files and regulator liaison, we take your firm from plan to permission.
MiFID Authorisation Prepared for Regulator Scrutiny
Investment firm authorisation demands precision. National competent authorities assess your programme of operations, the exact MiFID permissions you request, initial capital against your firm classification, governance and fit-and-proper standing, conduct arrangements, and transaction reporting readiness. Requesting the wrong permissions, or presenting a business plan supervisors find unconvincing, adds months of questions to an already demanding process.
We build applications that move. Our consultants scope your permissions precisely, select the right jurisdiction where you have options, prepare the complete authorisation dossier, and manage regulator questions through to approval. We also support AIFMs and UCITS managers adding MiFID top-up permissions, and firms extending existing authorisations into new services or instruments.
What Our Authorisation Support Covers
Authorisation succeeds on scoping and preparation, so our support covers every element regulators assess and every stage of the journey. From permission strategy through application to your first supervised year, our specialists keep the project structured, complete, and moving forward.
Permission Scoping
Defining exactly which MiFID services, activities, and financial instruments your authorisation must cover.
Jurisdiction Strategy
Comparing member state regulators, timelines, and expectations wherever you have genuine location options.
Application Preparation
Complete authorisation dossiers covering your programme of operations, governance arrangements, and supporting evidence.
Fit & Proper
Preparing your management body and shareholder suitability assessments against every single regulator expectation.
Regulator Liaison
Managing submissions, supervisory questions, and every follow-up request until your authorisation is granted.
Passporting & Extensions
Extending your authorisation across EU markets and adding new permissions as you grow.
Ready to Strengthen Your Compliance?
Why Markets Applicants Choose ABM Support
Precise Scoping
Permissions defined correctly first time, avoiding costly gaps or unnecessary capital requirements.
Honest Timelines
Straight answers about capital, jurisdiction choices, and how long review genuinely takes.
Full-Journey Support
One team from scoping through approval and into your ongoing supervisory obligations.
Who We Help Get Authorised
We prepare authorisations for brokers, portfolio managers, investment advisers, proprietary trading firms, and venue operators entering European markets. Whether it is a fresh MiFID licence, a top-up permission, or an extension, we manage the process.
Compliance advisory, regulatory reporting, and financial crime frameworks for banks and credit institutions.
MiFID II, market abuse, and transaction reporting support for capital markets participants.
Authorisation, governance, and ongoing compliance support built around your investment firm obligations.
Practical compliance frameworks for asset managers, AIFMs, and UCITS management companies alike.
Licensing, safeguarding, and operational compliance support for payment institutions across EU markets.
EMI authorisation, safeguarding arrangements, and ongoing regulatory reporting support across the EU.
Regulatory guidance that keeps innovative business models compliant from launch through scale.
MiCA, DORA, and digital asset compliance for Europe’s next generation of finance.
Trusted and Loved by Our Clients Across the Europe
Businesses across Europe trust ABM to guide their licensing, strengthen their frameworks, and keep their compliance on track. Here is what founders, compliance officers, and executives say about working with our team.
Years Of Expertise
Trusted Expert Guidance, Just One Message Away
Tell us about your business and regulatory needs. One of our compliance specialists will respond within one working day with clear, practical next steps.
- Unit 6, Trinity Court, Fonthill Business Park, Clondalkin, Dublin 22, D22 YE30, Ireland
Book Your Consultation
A confidential conversation about your licensing plans, compliance challenges, or regulatory questions, with no obligation attached.
Investment Firm Licensing Questions Answered
What capital does an investment firm need?
Initial capital under the IFD is EUR 75,000, 150,000, or 750,000 depending on your permissions, with ongoing requirements scaled to your firm classification and activities.
How long does MiFID authorisation take?
Typically six to twelve months from complete application, plus preparation beforehand. Precise permission scoping and a credible business plan meaningfully shorten regulator review.
Which permissions does my firm need?
It depends on your exact activities: advice, portfolio management, execution, dealing, or operating venues each carry different permissions, capital, and obligations. We scope this first.
Do AIFMs need separate MiFID authorisation?
Not always. AIFMs and UCITS managers can add MiFID top-up permissions for services like portfolio management and advice without full separate investment firm authorisation.
Can you extend our existing authorisation?
Yes. We prepare variation applications adding new services, instruments, or client categories, and we manage passporting notifications whenever you expand across borders.