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Documents that must be submitted in the event of an assessment
Published: 22 March 2023
When completing the “Initial assessment crypto service providers” form in My DNB you will see which documents you have to upload. It concerns the following documents:
Propriety assessments (all assessments):
The curriculum vitae of the natural person to be assessed must be complete and up-to-date, and must include at least the following:
- Education and relevant training courses, stating the name and location of the education institute, years of attendance and diplomas/certificates obtained.
- Professional experience, including the statutory name and place of the company, the period of employment, the position held, an elaboration of the duties and responsibilities and the number of staff for whom the person to be assessed was responsible.
- Secondary positions, stating:
- the statutory name and place of the institution
- the field of expertise or committee
- average weekly or monthly time spent on each secondary position
- any remuneration received
- We would prefer you to use the format provided on our website.
Copy of valid ID document (passport/ID card)
You must enclose a legible photocopy of both sides of a valid ID document of the natural person to be assessed. Please note that we cannot accept a driver's licence as a valid ID.
We use this copy to verify the personal data of the natural person, which is necessary to obtain judicial information. The copy must be clearly legible and the ID document must be valid for another six months on the date of submission. Your photo, the citizen service number (burgerservicenummer - BSN) and the machine readable zone may be blacked out, as we do not need them to check judicial information. You may wish to consult the Dutch Government website for more information about safely making copies of identity documents (in Dutch only).
Integrity Screening Form
The natural person to be assessed must also complete a Integrity Screening Form. If DNB or the AFM assessed this person on propriety less than three years ago and no changes to any relevant facts or circumstances have occurred since the previous assessment, there is no need to submit the Integrity Screening Form. However, we advise persons to be assessed to always study the Integrity Screening Form, as it explains what we mean by relevant facts, circumstances and antecedents, including examples.
Statement of the natural person to be assessed (and authorised representative)
Together with the Integrity Screening Form, the natural person to be assessed must upload a statement indicating that they have completed the form in full and truthfully. If the Integrity Screening Form was completed by an authorised representative, the representative must also sign the statement.
Certificate of good conduct/criminal record check
As part of a propriety assessment, we check criminal records to determine whether the natural person has ever been involved in criminal acts that affect their propriety.
Since not all criminal offences are included in the Dutch judicial system, we will need a criminal records extract from some of the persons that are assessed for propriety in the context of a request for registration as a crypto service provider. A criminal records extract is a statement from a competent authority confirming that the person to be assessed has not committed any criminal offences that are relevant for the proposed position.
The following persons are required to submit a criminal records extract in the context of a propriety assessment:
- Persons having Dutch nationality who have resided outside the EU at any time during the past eight years.
- Persons having non-Dutch nationality who have resided outside the Netherlands at any time during the past eight years.
The infographic below shows the situations in which a criminal records extract must be submitted:
Please note that persons who have resided in multiple countries outside the Netherlands during the past eight years may have to submit multiple criminal records extracts.
A criminal records extract is available from the competent authority in the relevant country of residence and must meet the following conditions.
- The extract may not have been issued more than three months ago.
- If the extract is not in the Dutch or English language, you must also provide a translation in either Dutch or English, prepared and certified by a sworn translator.
Suitability matrix for executive directors, policymakers, co-policymakers and supervisory board members
Expertise and capabilities matrix
The expertise and capabilities matrix provides an overview of the expertise and capabilities of the person to be assessed and of those of the other members of the board. The composition of the board as a whole also plays a role in assessing a person’s fitness.
The person's job profile, at least listing the following:
- Fields of expertise
- Duties and responsibilities
- Expected time commitment
- Required competences
- Requirements in terms of education and experience
- For proposed board members of organisations governed by the Wft: Organisation chart or other document showing the person's span of control
Referees must meet the following conditions:
- They have a relevant professional background and are sufficiently independent.
- They are able to substantiate the expertise of the person to be assessed, experience and professional conduct.
- One of them must be the person's most recent superior or a fellow management or supervisory board member.
- At least one of them must work in the financial sector, but preferably at a different institution to the person to be assessed.
Please provide the referees' name, telephone number, email address, current position and their relationship to the person to be assessed. In view of privacy regulations, please do not provide us with any further contact information than requested.
We will not necessarily contact all referees. We would advise you to inform your referees beforehand that we might not contact them.
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