Initial assessment in the context of a DNO application – documents to be submitted

Forms

You must use the Initial assessment application form for a DNO application or when a new director is appointed at a DNO-holding entity.

As a rule, the person to be assessed must complete the Initial assessment application form for a declaration of no-objection. An authorised representative may also do this.

Information and annexes

The following documents must be submitted together with the Initial assessment application form for a declaration of no-objection.

Please note that the consideration period may be extended if you fail to include all relevant documents.

ID document

You must include a legible copy of the valid passport or ID card of the natural person to be assessed. Please note that a driver's licence does not qualify as a valid ID.

The copy is used to verify the personal details of the natural person to be assessed, which is necessary to obtain judicial information. The document must be clearly legible and valid on the starting date of the new position. The applicant's photo, citizen service number (burgerservicenummer - BSN) and the machine readable zone may be blacked out, as we do not need them to check judicial information. Consult the Dutch Government website (www.rijksoverheid.nl) for more information about safely making copies of identity documents (in Dutch only).

Curriculum vitae

The CV of the natural person to be assessed 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 or certificates obtained;
• professional experience, including the statutory name and place of the company, the period of employment, the position held, a description of the duties and responsibilities and the number of staff for whom the natural person to be assessed was or is responsible.
• All secondary positions, stating:
• the statutory name and place of the company;
• the field of expertise or committee;
• the average weekly or monthly time commitment for each of the secondary positions listed in the CV;
• whether any remuneration is received for the secondary positions.
• You can use our CV template for this purpose.

Propriety assessment form

For proposed appointments, you must also complete the Propriety assessment form. If DNB or the AFM screened the natural person to be assessed on propriety in the past and no changes to any relevant facts or circumstances have occurred since the previous assessment, there is no need to resubmit the propriety assessment form.

We advise natural person to be assessed to study the propriety assessment form in advance, as it explains what we mean by relevant facts, circumstances and antecedents, including examples.

Criminal records extract

This chart shows the situations that require you to submit a criminal records extract.

As part of a propriety assessment, we also check criminal records to determine whether the natural person to be assessed has ever been involved in criminal acts. Since not all criminal offences are included in the Dutch judicial system, we will need a criminal records extract from some of the natural persons to be assessed for propriety in the context of a DNO application. A criminal records extract is a statement from a competent authority confirming that the natural person to be assessed has not committed any criminal offences that are relevant for the proposed position.

The following natural persons to be assessed are required to submit a criminal records extract:

• anyone having Dutch nationality who has resided outside the EU at any time during the past eight years, and
• anyone having non-Dutch nationality who has resided outside the Netherlands at any time during the past eight years.

This means that a natural person to be assessed who has 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.

1. The extract may not have been issued more than three months ago.
2. 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.

Criminal records extract for propriety assessments in the context of DNO applications for acquiring or increasing a qualifying holding in a bank

If you are applying for a propriety assessment in the context of a DNO application for acquiring or increasing a qualifying holding in a bank, or for the assessment of a new day-to-day policymaker or a holder of a qualifying holding in a bank established in the Netherlands you should consider the following.

If DNB or the AFM assessed natural person to be assessed on propriety in the past and no changes to any relevant facts or circumstances have occurred since the previous assessment, there is no need to reassess the person. However, you must still submit a criminal records extract or a certificate of good conduct for the natural person to be assessed. The European Central Bank (ECB) requires either of these documents for its assessment of the DNO application.

Forms & formats

• Integrity Screening Form
• Standardised cv
• Statement of the natural person to be assessed (and authorised)