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Supervisory applications service: new forms

Notification of suspected illegal financial services violator

As of September 15 2023
You can now submit a digital report of a suspected illegal financial service provider. Reporting via this form is our preferred method. Our illegal activity enforcement team will act accordingly.

Other licence application forms, registration forms and notification forms Market Access

As of September 15 2023

You must complete this form to apply for a licence to operate a branch office, make a notification or apply for a change to an existing registration for an exemption or exception. You can also use the form to apply for a licence to operate a/as a clearing institution.

Notification form for pension funds – conversion decision and implementation plan

As of July 1 2023, only available in Dutch

From 1 July 2023, pension funds can submit their conversion decision and implementation plan to DNB. They can do so using the Notification form for pension funds – conversion decision and implementation plan. They can use the notification form to submit the following documents and notifications:

  • the implementation plan. See Beleidsuitingen thema Implementatieplan (Policy statements on the implementation plan, in Dutch)
  • the conversion decision template The draft conversion decision template is currently under consultation, see: Consultatie invaarsjabloon voor pensioenfondsen (Consultation on conversion decision template for pension funds, in Dutch). The instructions for filling in the draft conversion decision template can be found here: invulinstructie-invaarsjabloon-consultatieversie (conversion decision template instruction, in Dutch)  
  • (if applicable) a request for exemption from the conversion rules pursuant to Section 150oa or Section 145na of the Mandatory Occupational Pension Scheme Act (Wet verplichte beroepspensioenregeling – Wvb)
  • (if applicable) a notification of a group conversion of accrued benefits immediately following the conversion in the event of liquidation, as referred to in Section 84 of the Pensions Act (Pensioenwet – Pw) and Section 92 of the Wvb.

The explanatory notes to the notification form can be found here: toelichting meldingsformulier invaarbesluit (notes to the conversion decision notification form, in Dutch).

We will assess the notification once it has been submitted in full. We aim to complete our assessment within six months. This depends, among other things, on the quality of the documents submitted.

Bridging plan notification form for pension funds

As of July 1 2023, only available in Dutch

Pursuant to Section 150q(2) of the Pensions Act (Pensioenwet - Pw) or Section145p(2) of the Mandatory Occupational Pension Scheme Act (Wet verplichte beroepspensioenregeling – Wvb), pension funds must submit their bridging plan to DNB for approval. We have developed a standard notification form for our assessment of pension fund bridging plans. This notification form allows you to submit the bridging plan.

Application form for dispensation Trust offices

As of June 22 2023

In special cases and if certain conditions are met, we may grant dispensation from the prohibition on providing trust services professionally or commercially to a company with registered office in the Netherlands that does not have a licence issued by DNB for that purpose. Please use this form to apply for dispensation.

Form scope assessment

As of May 11 2023

In case you have doubts about what type of (financial) regulation is applicable to your organization and if you need an authorisation, you can request the DNB for a scope assessment by filling out this form. DNB will analyze your own assessment and will confirm if it agrees or disagrees with your analysis or if DNB has a different conclusion with regard to the applicable regulation and if you need an authorisation.

Notification group transfer of accrued benefits (CWO) from an insurer or PPI 

As of April 1 2023, only available in Dutch

Two of the conditions set in Section 83 of the Pensions Act (Pensioenwet – Pw) for a pension provider to effect a group transfer of accrued benefits (collectieve waardeoverdracht – CWO) at the employer's request is that the transferring pension provider must notify us in writing of its intention to effect the CWO no later than three months before the proposed date of the CWO. Pursuant to Section 90 of the Pw, these conditions also apply to CWOs from an insurer to a pension institution in another Member State and to CWOs from a pension provider to an insurer with registered office outside the Netherlands. As an insurer or PPI, you must use this form to notify us of a proposed CWO under Section 83 or 90 of the Pw.

Form for other applications and notifications 

As of January 6 2023

This form can be used if you want to submit an application, a report or a notification for which no specific form is available. In the form you can select the activity for which you need a licence or which you want to report or notify. Options are: 

  • Notification of code of conduct of actuarial organisations
  • Notification of XB licence of Dutch pension funds
  • One-off increase in risk profile in deficit situation pursuant to Section 36 of the Pension Fund (Financial Assessment Framework) Decree (Besluit FTK)
  • Assessment of partial internal model for required own funds
  • Portfolio transfer upon merger or demerger
  • Notification of establishment of a pension fund
  • Reporting a supervisory incident
  • EMIR clearing obligation (pension funds)

Notification form for deviation from bonus cap for non-CLA staff

As of 6 January 2023, only available in Dutch

Pursuant to Section 1:121(1) of the Financial Supervision Act (Wet op het financieel toezicht – Wft), the variable remuneration for a natural person working under the responsibility of financial enterprises with their registered office in the Netherlands is set at a maximum of 20%. Institutions making use of this exception must use this form to submit a substantiated notification to DNB annually within 12 months of employment.

Exemption or permission for banks (LSIs)

As of 6 January 2023

DNB may grant full or partial exemption to banks, that qualify as Less Significant Institutions (LSIs), from certain articles of the Financial Supervision Act (Wet op het financieel toezicht – Wft), the Capital Requirements Regulation (CRR), the European Market Infrastructure Regulation (EMIR) or the Payment Services Direction (PSD) if certain conditions are met. There are also situations in which you need DNB's permission. Please use this form to apply for exemption or permission.

Sanction report for the application of article 3 of the Sanctions Act 1977

As of 30 June 2022

If a financial institution discovers that the identity of a relationship corresponds to a person or entity, as referred to in a sanctions regulation, the institution shall report this to the supervisor without delay. Please use this form to do so. 

Application form for investment firms for exemption or permission

As of March 21 2022

In special cases, DNB may grant full or partial exemption from certain articles of Regulation (EU) 2019/2033 on the prudential requirements of investment firms (IFR) or the Financial Supervision Act (Wet op het financieel toezicht – Wft). There are also situations in which you need DNB's permission. Please use this form to apply for exemption or permission.

Form for submitting an objection

As of 3 December 2021

If you disagree with a decision DNB has taken, you can file an objection as an interested party by completing this form.

Application form for insurers for exemption or permission

As of 9 September 2021

On request, DNB can grant full or partial exemption from certain sections of the  Financial Supervision Act (Wet op het financieel toezicht - Wft). There are also situations in which you need DNB's permission. Please use this form to apply for exemption or permission (only available in Dutch).

Application for an initial assessment ultimate beneficial owner

As of 15 April 2021

You can use this form to request an assessment of the UBO (ultimate beneficial owner) of an exchange institution, a trust office domiciled in the Netherlands or a provider of exchange services between virtual and fiat currency or a custodian wallet provider (crypto service provider).

Outbound notification form 

As of 4 March 2021

Payment institutions, electronic money institutions and insurers with their registered office in the Netherlands can use this form to initiate the notification procedure to operate in any other European Economic Area member country.