Registration of persons who need to be screened - market operators

Market operators 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 - market operators

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 sent 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 - market operators 

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

  • Integrity screening: €700
  • Previously screened on integrity: no fee


Suitability screening

Costs per daily policymaker or supervisory board member:

  • Suitability screening: €2,900
  • Previously screened on suitability*: no fee


* applicable to any person who has been previously screened on suitability for the same type of financial enterprises with similar services

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 - market operators

Please fill in the Integrity Screening Form and send it electronically to the AFM. Before submitting your application form, do not forget to print the completed document.

In addition, you must submit the following forms and documents:

  • Prospective Appointment Notification Form*
  • completed and signed Integrity Screening Form*
  • copy of an ID document*
  • Supervisory board suitability matrix (whichever is applicable)
  • Directors suitability matrix (whichever is applicable)
  • covering letter (if applicable)
  • curriculum vitae (drawn up by applicant)
  • decision-making and considerations upon prospective appointments (drawn up by applicant)
  • job profile (drawn up by applicant)

 

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


Please send the completed forms and documents to:

The Dutch Authority for the Financial Markets
Attn. Asset Management
P.O. Box 11723
1001 GS Amsterdam

 

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