In licence applications, declarations of no-objection and in ongoing supervision, investment firms and investment fund managers may encounter prudential regulations that they may not always interpret correctly.
This may delay or even jeopardise the granting of a licence or declaration of no-objection. In addition, this may result in non-compliance with laws and regulations, and we may take enforcement action to restore compliance as part of our ongoing supervisory activities. We have prepared a presentation detailing the key prudential points of interest to help stakeholders avoid such situations as much as possible. We hope that this presentation will clarify certain requirements that investment firms and investment fund managers must meet. Click on the link below for the presentation.
To read more about the status of this communication, see the Explanatory guide to DNB's policy statements on Open Book on Supervision.
We have established that in many cases the quality of prudential reporting has room for improvement. Therefore, we have published good practices on data quality.
Read more Good Practices on data quality put up for consultation
De Nederlandsche Bank (DNB) imposed an administrative fine of €15,810 on investment firm Black Swan Capital B.V. (BSC) on 21 May 2024, for failing to hold sufficient own funds from the year-end 2019 until 21 July 2023.
Read more Fine imposed on Black Swan Capital for failure to hold sufficient own funds
Households deposited a record EUR 3.8 billion in Dutch investment funds in 2020. This boosted their assets managed by investment funds to EUR 47.3 billion.
Read more Dutch investment funds hit record AUM at EUR 1 trillion
The rapid development of artificial intelligence (AI) poses challenges for the supervisory work of the AFM and DNB. The supervisory authorities have published a report with criteria and areas of attention for shaping the supervision of AI.
Read more AFM and DNB publish report on the impact of AI on the financial sector and supervision
