Search results

1. Open Boek
2. Wetten
3. Brondocumenten
4. Alle

• 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. Answer: Yes, they are. The fines are identical and the Financial Supervision Act (W...

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

• 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 S...

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

• 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. Answer: No, not by definition.

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

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

  Order subject to penalty under the Wft, Pw, Wtt, Wwft and Sw. It also discloses the outcome of any objection or appeal preceding the decision.

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

• 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 contex...

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

• 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. Pursuant to the Wfbb, DNB provides information to the Minister of Finance for the purpose of determining the general policy with respect to the Netherlands' financial...

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

• 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. The data and information DNB requests for t...

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

• Risk analysis template outsourcing EN

  Risk analysis template outsourcing EN. Name financial institute: Nr. Onderwerp Toelichting Analyse Kans Impact Risico Maatregelen Restrisico 1 midden hoog #N/A midden 2 #N/A 3 #N/A 4 #N/A 5 #N/A 6 #N/A 7 #N/A 8 #N/A 9 #N/A 10 #N/A 11 #N/A 12 #N/A 13 #N/A 14 #N/A 15 #N/A 16 #N/A Vendor lock-in ...

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

• 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. Various thematic examinations have led to the compilation of good prac...

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

• Intra group exemption from margin exchange requirement

  Intra group exemption from margin exchange requirement. How can institutions that are subject to the European Market Infrastructure Regulation (EMIR) apply for exemption from the obligation to exchange collateral (initial and variation margins in accordance with Article 11 of Regulation (EU) 648/2012) or call upon the transitional provisions in ...

  EU Richtlijnen [eurili], Factsheet | 21-08-2018 | css, ppf, cis, wi, emi, pf, cb, pi, ban, in, to, ci, if

• Initial assessment DNO application - documents to be submitted

  Initial assessment in the context of a DNO application – documents to be submitted. You can use for this purpose.

  Factsheet | 07-08-2018 | css, ppf, cis, wi, emi, pf, pi, ban, in, to, ci, if

• Factsheet Criminal records extract

  Factsheet Criminal records extract. Versie X - XX XX 2016 Factsheet Criminal records extract for a propriety assessment in the context of a DNO application In a propriety assessment, we check criminal records to determine whether candidates have been involved in criminal acts. ▪ Candidates having non-Dutch nationality who have resided outs...

  pdf | 02-08-2018 | css, ppf, cis, wi, emi, pf, pi, cb, ban, in, to, if

• Exemption from the licence requirement

  Exemption from the licence requirement. Anyone wishing to provide trust services in the Netherlands in a professional capacity or on a commercial basis must be licensed by De Nederlandsche Bank (DNB) or must be exempt from the licence requirement. Examples include the services of lawyers and providers of professional or commercial debt collectio...

  Factsheet | 01-08-2018 | to

• Clearing obligation

  EMIR - Clearing obligation. Open Book Supervision Skip to content.Skip to navigation.Skip to search. There are four categories of parties; the first of which (clearing members) will be subjected to the clearing obligation from 21 June 2016 onwards.

  EU Richtlijnen [eurili], Factsheet | 18-07-2018 | css, ppf, cis, wi, emi, pf, cb, pi, ban, in, to, ci, if

• Pilot project with external experts

  Pilot project with external experts. We have launched a pilot project for involving external experts in our fit and proper assessments, in tandem with the AFM, which will run until July 2019. External experts will also be involved in reviewing paper-based assessments in terms of their substance and the process.

  FAQ | 17-07-2018 | css, ppf, cis, wi, emi, pf, pi, cb, ban, in, to, if