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Factsheet on prudential points of interest in applications and in ongoing supervision


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.

Published: 11 May 2023

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.