Supervisory applications service: recently changed forms

Licence revocation application form

DNB revokes licences on request. You can use this form to apply for revocation of the licence we issued to you. As of 16 November 2023, the option for revocation of the registration as a crypto service provider has been added.

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

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.  New options have been added as of 16 November 2023.

• Licence application for a clearing institution established in the Netherlands
• Notification for clearing institution

Form for other applications and notifications

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. A new option has been added as of July 14th, 2023.

• Wtp implementation plan for insurers (Section 150b(1) of the Wtp)

Application for an initial assessment in the context of a declaration of no-objection (DNO)

As of July 1 2023

From 1 July 2023, under the Act amending the Financial Markets Act (Wijzigingswet financiële markten 2022), holders of a DNO will be subject to an ongoing reputation requirement. This means that as of that date, reputation assessments will also be required after the DNO has been granted. From 1 July 2023, new policymakers at holders of a qualifying holding will be subject to a reputation assessment, which not only evaluates their integrity but also their professional competence.

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. A new option has been added as of June 1, 2023. 

• EMIR clearing obligation (pension funds)

Assessment application forms

As of 12 May 2023, you can see the status of your assessment application in My DNB – Supervisory Applications Service. Status information is currently available for the following types of applications:

• Initial assessment
• Initial assessment for crypto service providers
• Assessment in connection with change in remit
• Initial assessment of second-tier senior officers

By giving you access to real-time status information, we are providing more insight and transparency about the assessment process. We will evaluate this new feature in due course. If the evaluation is positive, we will roll out this feature to other My DNB services down the road.

Application Form DNO 3:95

As of April 1, 2023 the following has changed in this form.

If it concerns an investment firm with a bandwidth of 10% - 100% an additional section was added under section G (Section G1. Investment holding company). In this section we ask the applicant to prepare a legal analysis using the step-by-step guide to clarify whether the applicant is an investment holding company and to submit it with the application. In addition, we request documentation for the purpose of the applicant's directors and supervisory board members’ fitness and propriety assessment.

Licence revocation application form

As of December 15, 2022 the following has changed in this form.

When filling out the target date for licence revocation the following is included:

When specifying a target date for licence revocation, bear in mind that the application for revocation of the trust licence will only be considered if the trust office has demonstrated that the trust services as referred to in Section 1 of the Act on the Supervision Trust Offices (Wet toezicht trustkantoren – Wtt) have ceased.

Application Form DNO 3:95

As of November 25, 2022 the following has changed in this form.

In the section ‘I. Applicant's financial soundness’ the following question was added ‘Is the financial institution an UCITS manager, Investment firm, Payment institution or Electronic money institution?’. If the answer is affirmative, DNB would like like to receive financial overviews of the applicant for the last financial year, consisting of a balance sheet, profit and loss statement and a number of ratios. Please provide this information using the Template balance sheet, profit & loss and ratios, which can be found in the ‘Forms Manual’.

Assessment second-tier senior officers

As of July 1, 2022 the following has changed in this form.

The Assessment second-tier senior officers can also be used if a senior officer who has been assessed before changes position or remit within the target group second-tier senior officers.

Initial assessment crypto service providers

As of May 19, 2022 the following has changed in this form.

There has been a change in the application form Initial assessment crypto service providers for the section ‘details of position’ to correct an omission regarding the principal duties of the candidate.

Application for an initial assessment in context of DNO

As of March 24, 2022 the following has changed in this form.

• If the answer to the question ‘Have you been assessed before by a national or foreign financial supervisory/licensing authority?’ is affirmative, DNB would also like te recieve the following information: the name of the supervisory/licensing authority, for which function(s) and for which organization you have been assessed. 
• The following question was added ‘Do you have or have you had a financial relationship with a person or organisation on the EU terrorist list?’. If the answer is yes, DNB would also like to receive a statement on with whom/which organisation you had this relationship, stating the period of the relationship and describing the purpose of the relationship.
• The following question has been added: ‘Do you have any experience in the (intended) activities of the institution?’. If the answer is yes, please elaborate about this experience.

Application form Insurer

As of February 17, 2022 the following has changed in this form.

It is now possible to request a change to an existing license using the form 'Authorisation application form for insurers or an expansion of insurers licence'.

Initial assessment crypto service providers

As of December 3, 2021 the following has changed in this form.

The form has been adjusted if the reason for the application is ‘other assessment only involving a propriety assessment’. The question about the principal duties and powers roles of the candidate at the company has also been adjusted.

Application Form DNO 3:95

Below is a summary of the main changes as of December 3 2021.

Details of the applicant

The questions below now apply to all types of institutions rather than only to payment institutions.

• • In which country does the applicant have its registered office?
  • Is the applicant subject to financial supervision?
  • Is the applicant subject to anti-money laundering and counter-terrorist financing (AML/CFT) regulations?

Mandatory email address for statutory fee

• • This section now requires the applicant to enter an email address to which the fee invoice will be sent.

Integrity and professional competence

• • The title of this section has been changed. Its previous title was Integrity and professional competence.
  • The following question now applies to all sectors rather than only to payment institutions and electronic money institutions: Does the applicant have a relationship (in any sense of the word) with a politically exposed person (PEP) within the meaning of Article 3(9) of EU Directive 2015/849? Does the applicant have a relationship (in any sense of the word) with a politically exposed person (PEP) as defined in Article 3(9) ofEU Directive 2015/849? 

Applicant's financial soundness 

• • The following question is now explicitly included in the form. Do you intend to act as an active or a passive shareholder? Do you intend to act as an active (and not a passive) shareholder? 
  • Please ensure that your business case includes a table of contents for easy reference to these points. 
  • The question on financial statements has been changed as follows (see italics). We would like to receive the statutory financial statements for the last three financial years. Where the financial statements are audited by the external auditor, we would like to receive the financial statements together with an independent auditor's report.
  • The following paragraph was added to the corresponding information text. If the legal entity is in formation, you must submit the forecast balance sheets and forecast profit and loss accounts or income statements for the first three business years, including planning assumptions used.

Notification outsourcing

As of September 9, 2021 the following has changed in this form.

• It is possible to report a change to an existing outsourcing arrangement
• In the case of cloud outsourcing, please provide the type of deployment model.
• Please also provide a concise summary of the reasons why the outsourced operational function or activity is considered critical or important.
• You are no longer required to provide the CIA rating of the outsourcing arrangement.
• It is no longer compulsory to add parts of the contract such as text on right to audit or right to inspect. You may do so if you believe this will help DNB to better assess your report.

Initial assessment crypto service providers

As of July 9, 2021 the following has changed in this form.

DNB would also like to receive the recruitment and selection procedure and the decision-making and considerations in the context of this nomination. It is also possible to indicate whether the person to be tested is also appointed at an affiliated company.

Application for an initial assessment 

As of May 7, 2021 the following has changed in this form.

Assessments of prospective trust office board members are subject to fees.

Change in position or remit form

As of May 7, 2021 the following has changed in this form.

Assessments of prospective trust office board members are subject to fees.