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• Repetition of an offence and its consequences

  Repetition of an offence and its consequences. What is repetition of an offence and what are its consequences?. Open Book Supervision Skip to content.Skip to navigation.Skip to search. Repetition of an offence and its consequences Relevant for: ban, ci, cis, cb, in, if, pi, pf, to Validity: valid Date: 12 september 2018 Status Q&A Reference: b15

  FAQ | 12-09-2018 | ban, ci, cis, cb, in, if, pi, pf, to

• Why is the non-compliant party's ability to pay a criterion and how is it determined?

  Why is the non-compliant party's ability to pay a criterion and how is it determined?. Why is the non-compliant party's ability to pay a criterion and how is it determined?. Open Book Supervision Skip to content.Skip to navigation.Skip to search. Why is the non-compliant party's ability to pay a criterion and how is it determined? Relevant for:

  FAQ | 12-09-2018 | ban, ci, cis, cb, in, if, pi, pf, to

• Does the "una via" principle also apply to de facto directors?

  Does the "una via" principle also apply to de facto directors?. Does the "una via" principle also apply to de facto directors?. Open Book Supervision Skip to content.Skip to navigation.Skip to search. Does the "una via" principle also apply to de facto directors? Relevant for: ban, ci, cis, cb, in, if, pi, pf, to Validity: valid

  FAQ | 12-09-2018 | ban, ci, cis, cb, in, if, pi, pf, to

• Can a fine be imposed on a de facto director if the offending legal entity has since gone into liquidation?

  Can a fine be imposed on a de facto director if the offending legal entity has since gone into liquidation?. Can a fine be imposed on a de facto director if the offending legal entity has since gone into liquidation?. Open Book Supervision Skip to content.Skip to navigation.Skip to search. Can a fine be imposed on a de facto director if the

  FAQ | 12-09-2018 | ban, ci, cis, cb, in, if, pi, pf, to

• What is a legal entity?

  What is a legal entity?. What is a legal entity?. Open Book Supervision Skip to content.Skip to navigation.Skip to search. What is a legal entity? Relevant for: ban, ci, cis, cb, in, if, pi, pf, to Validity: valid Date: 12 september 2018 Status Q&A Reference: b07 Author: DNB Question: What is a legal entity? Answer: Sanctionable legal entities

  FAQ | 12-09-2018 | ban, ci, cis, cb, in, if, pi, pf, to

• When do the AFM and DNB impose fines on de facto directors?

  When do the AFM and DNB impose fines on de facto directors?. When do the AFM and DNB impose fines on de facto directors?. Open Book Supervision Skip to content.Skip to navigation.Skip to search. When do the AFM and DNB impose fines on de facto directors? Relevant for: ban, ci, cis, cb, in, if, pi, pf, to Validity: valid Date: 12 september 2018

  FAQ | 12-09-2018 | ban, ci, cis, cb, in, if, pi, pf, to

• Are de facto directors and legal entities subject to the same penalty and disclosure regime?

  Are de facto directors and legal entities subject to the same penalty and disclosure regime?. Are de facto directors and legal entities subject to the same penalty and disclosure regime?. Open Book Supervision Skip to content.Skip to navigation.Skip to search. Are de facto directors and legal entities subject to the same penalty and disclosure

  FAQ | 12-09-2018 | ban, ci, cis, cb, in, if, pi, pf, to

• Is it possible that fines for an offence are imposed on both the legal entity and the natural person instructing or actually directing the commission of that offence?

  Is it possible that fines for an offence are imposed on both the legal entity and the natural person instructing or actually directing the commission of that offence?. Is it possible that fines for an offence are imposed on both the legal entity and the natural person instructing or actually directing the commission of that offence?. Open Book

  FAQ | 12-09-2018 | ban, ci, cis, cb, in, if, pi, pf, to

• I am a director of a private or public limited company. Does that automatically make me a de facto director?

  I am a director of a private or public limited company. Does that automatically make me a de facto director?. I am a director of a private or public limited company. Does that automatically make me a de facto director?. Open Book Supervision Skip to content.Skip to navigation.Skip to search. I am a director of a private or public limited company.

  FAQ | 12-09-2018 | ban, ci, cis, cb, in, if, pi, to

• Order subject to penalty under the Wft, Pw, Wtt, Wwft and Sw

  Order subject to penalty under the Wft, Pw, Wtt, Wwft and Sw. In tandem with the Dutch Authority for the Financial Markets (AFM), DNB monitors and enforces compliance with the Financial Supervision Act (Wet op het financieel toezicht – Wft), the Pensions Act (Pensioenwet – Pw), the Mandatory Occupational Pension Scheme Act (Wet verplichte

  Factsheet | 12-09-2018 | ban, css, ci, cis, emi, wi, in, if, pi, pf, ppf, to

• External Financial Relations Act 1994 (Wet financiële betrekkingen buitenland 1994 – Wfbb)

  External Financial Relations Act 1994 (Wet financiële betrekkingen buitenland 1994 – Wfbb). The Wfbb provides rules relevant to the compilation of the Dutch balance of payments. Article 7 of the Wfbb requires residents to submit information and data to DNB that are relevant to the compilation of the Dutch balance of payments, in accordance with

  Wetten [wett],Factsheet | 12-09-2018 | ban, ci, cis, cb, emi, wi, in, if, pi, pf, ppf, to

• Covenant on administrative and criminal-law sanctions

  Covenant on administrative and criminal-law sanctions. The Covenant on administrative and criminal-law sanctions (Convenant bestuurlijke boeten en strafrechtelijke sancties) laid down the coordination procedure governing the choice between the imposition of an administrative fine, the disclosure of facts, or criminal-law settlement in the context

  Overige [over],Factsheet | 12-09-2018 | ban, ci, cis, cb, emi, wi, in, if, pi, pf, ppf, to

• Balance of Payments Reporting Instructions 2003 (RI 2003)

  Balance of Payments Reporting Instructions 2003 (RI 2003). Pursuant to Article 7 of the External Financial Relations Act 1994 (Wet financiële betrekkingen buitenland 1994 – Wfbb), residents must submit information and data to DNB that are relevant to the compilation of the Dutch balance of payments. DNB has elaborated the reporting requirements

  Toezichthouderregels [tzre],Factsheet | 12-09-2018 | ban, ci, cis, cb, emi, wi, in, if, pi, pf, ppf, to

• Risk analysis template outsourcing EN

  Risk analysis template outsourcing EN. Name financial institute: Nr. Risks Remarks Analysis prob Impact Risk Risk mitigation adjustments Residual risk 1 Vendor lock-in The risk of not easy or not being able to make the transition to another service provider, for example due to technical constraints, a lack of competitors, or the current service

  xls | 10-09-2018 | css, ban, cis, if, pi, emi, cb, pf, ppf, to, in, wi

• Governance: Outsourcing

  Governance: Outsourcing. Financial institutions and pension funds operating in the Netherlands that outsource activities to third parties remain responsible for compliance with the provisions regarding those activities made in or pursuant to financial supervision legislation. An undertaking must not enter into outsourcing arrangements if this

  Factsheet | 01-09-2018 | ban, css, ci, cis, cb, emi, wi, in, if, pi, pf, ppf, to