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By virtue of its supervisory task, DNB is authorised to enforce compliance with financial laws and regulations by supervised institutions. DNB has non-formal and formal enforcement instruments at its disposal, which it may impose on legal entities as well as natural persons.

Non-formal enforcement measures, including compliance briefings and written warnings, have no basis in the law.

  • Formal enforcement measures have a legal basis and are referred to as "administrative sanctions". Administrative sanctions include instructions, appointment of a liquidator, suspension of voting rights, prohibitions, limiting or revoking licences, orders subject to penalty and administrative fines. Administrative sanctions may serve a remedial purpose (orders subject to penalty) or a penal purpose (administrative fines). See below for more information about the underlying enforcement principles.

Disclosure of enforcement measures

In principle, DNB is required by law to disclose all administrative sanctions it imposes. Sanction decisions are disclosed once they are irrevocable, i.e. when all legal remedies have been exhausted. If an objection or appeal has been lodged, DNB discloses the outcome along with the decision itself. Orders subject to penalty are disclosed upon forfeiture of a penalty. See below for more information about the enforcement measures DNB discloses.

Disclosed enforcement measures and sanctions

See below for more details of the enforcement measures DNB has disclosed.