Registration of persons who need to be screened investment firms

Investment firms must register with the AFM prospective appointments of daily policymakers, supervisory board members or co-policymakers beforehand.

An integrity screening is required for all registered persons. Daily policymakers and supervisory board members will also be screened on suitability.

Go to the tab ‘Apply’ to fill in the form and its annexes and send them electronically to the AFM.

Registration of persons who need to be screened investment firms

Appointment after the approval of the AFM
You are only permitted to appoint the registered person after the written confirmation of the AFM that this person has been approved. This also means that you can only register this person with the Chamber of Commerce after our written approval.

When do you need to fill in the Integrity Screening Form?
In case the AFM and/or the Dutch Central Bank have not previously screened the registered person on integrity, the registered person must fill in the Integrity Screening Form.

If the registered person has been previously screened on integrity by the AFM and/or the Dutch Central Bank the Integrity Screening Form only needs to be filled in again and send to the AFM in case of any changes in antecedents.

Examples of antecedent events are:

  • (involvement in) traffic offences
  • financial problems
  • bankruptcy
  • falsification of documents
  • embezzlement
  • improper tax return


For a list of the antecedents that must be reported in any event, see Appendix C of the Decree on Conduct of Business Supervision of Financial Undertakings under the Wft.

Go to the tab ‘Apply’ to fill in the form and its annexes and send them electronically to the AFM.

Registration of persons who need to be screened investment firms

Integrity screening
Costs per daily policymaker, supervisory board member or co-policymaker:

  • Integrity screening €700
  • Previously screened on integrity €0


Suitability screening
Costs per daily policymaker or supervisory board member:

  • Suitability screening €2.900
  • Previously screened on suitability €0


Costs for the integrity screening will be due from the moment the application has been submitted, irrespective of the outcome of the application procedure. This means that the costs will be charged in the following situations:

  • in case the AFM approves or disapproves the application
  • in case you withdraw your application prematurely
  • in case the application has not been submitted completely within the stipulated period and the AFM has stopped the processing of the application.

 

Registration of persons who need to be screened investment firms

Submitting an application
Please fill in the Integrity Screening Form and send it electronically to the AFM. Before submitting your application form, do not forget to print and sign the completed document. You must upload the signed document in the online application form as well, see Annexes.

Annexes
Below you find a list of the forms and documents you have


* for the integrity screening of co-policymakers only these documents are applicable.

Procedure

  1. Fill in the Integrity Screening Form and save it
  2. Fill in the other annexes and save them
  3. Log in via Login AFM ID
  4. Open the online application form via the link below (start service)
  5. Fill in your details and upload the annexes in the application form
  6. Submit the application form

 

You must be logged in to be able to fill out this application. Please choose you login method in the menu at the right. After login you will be redirected to this screen.

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