Changes in antecedent events - investment firms

Supervised companies are required to report to the AFM new antecedent events and any changes in antecedents of daily policymakers, supervisory board members, and co-policymakers.

In response to the reported antecedent event, the AFM can decide to rescreen the person in question. This may lead to the judgment that this person’s integrity is no longer beyond doubt and/or that this person is found no longer suitable.

Examples of changes in 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.

In case of any doubt, please contact our Business Desk.

 

Changes in antecedent events - investment firms 

No details.

 

Changes in antecedent events - investment firms

No charge is made for this service.

 

Changes in antecedent events - investment firms

You can report changes in antecedent events via the meldingsformulier wijziging antecedenten (changes in Antecedent Events Notification Form, only available in Dutch)

Procedure

  1. Fill in the form and save it.
  2. Sign a printed copy.
  3. Scan the completed and signed form.
  4. Send the form per email to meldingenformulier@afm.nl.


You will automatically receive a confirmation per email. Please save a copy for your own administration.

 

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