Dutch Financial Supervision Act (Boom Basics)

European Union Law

Dutch Financial Supervision Act (Boom Basics)

By R.A. Stegeman
Eleven International Publishing August 2020

Specifications

ISBN-13
9789462361409
Publisher
Eleven International Publishing
Publication
August 2020
Format
Paperback
Jurisdiction
Netherlands ? Countri(es) for reference only

Details

A quick and comprehensive insight into the Dutch Financial Supervision Act.

In our daily lives, we are all active on the financial markets. We have a mortgage, a payment account, various insurances, a pension and possibly investments in shares on the stock exchange. The financial crisis of 2007 has shown the importance of the functioning of the financial markets for our economy. The crisis eroded public confidence in the financial sector. This explains the increased public’s and government’s attention to the supervision of the financial sector.

Usually, the government’s attention results in regulation, which is translated into legislation and supervision. For the financial sector, this relates in particular to the Financial Supervision Act (FSA).

This act is relatively unknown and therefore unloved by most lawyers and law students. This is however completely unjustified. Dutch law cannot be more extensive, complex, dynamic and therefore more challenging than the FSA. The purpose of this book is to make the FSA more accessible to interested parties. It contains clear diagrams, topic-orientated explanations and practical examples to give a quick and comprehensive insight into the FSA.

Table of Contents

I. Introduction
1. Position in Dutch law
2. Origin
3. Objectives (prudential and conduct of business supervision)
4. European influences
5. Structure
II.
Part 1 - General
6. Definitions
7. Financial product, financial instrument and security
8. Customer, consumer and public
9. Professional market party, professional investor, eligible counterparty, qualified investor and institutional
investor
10. AIF, undertaking for the collective investment in transferable securities (UCITS), investment fund,
investment company and investment firm
11. Financial firm, financial institution and financial service provider
12. Key information document and key investor information document
13. Offering and ‘in the course of a profession or business’
14. Scoping provisions
15. Affectability of legal acts
16. Supervision and enforcement
17. Confidentiality and publication
18. Liability of regulators
19. Cooperation between regulators
20. Procedures; licence and DNO
21. Remuneration policy
III.
Part 2 - Market Access Financial Firms
22. Introduction
23. Territorial scope
24. Statutory exemptions and dispensations
25. European passport
26. Payment service providers
27. Electronic money institutions
28. Banks
29. Insurers
30. Offering investment objects
31. Offering credit
32. Managing and offering of units in AIFs and UCITS
33. Advising on financial products other than financial instruments
34. Acting as an intermediary
35. Providing investment services and performing investment activities
36. Licence requirements
37. Access to foreign financial markets; notification procedure
IV.
Part 3 - Prudential Supervision of Financial Firms
38. Introduction
39. Group finance companies
40. The prohibition to obtain repayable funds
41. The prohibition to use the word ‘bank’
42. Suitability and trustworthiness
43. Integrity policy
44. Structuring and organisation
45. Minimum capital
46. Solvency and financial position
47. Capital buffer
48. Liquidity
49. Technical provisions
50. Qualifying holdings in and by financial firms
51. Measures in the event of breaches of prudential rules
52. Transfer of portfolio by insurers
53. Recovery plan
54. Investor compensation scheme and deposit guarantee scheme
55. Investment principles and investment policies of PPIs 144
56. Consolidated supervision of financial firms 145
V.
Part 3A - Special measures and provisions concerning financial firms
57. General information
58. The preparation phase
59. The early intervention phase
60. The resolution phase
61. Special measures
62. Legal protection
VI.
Part 4 - Conduct of business supervision of financial firms
63. Introduction
64. Suitability
65. Knowledge and competence
66. Trustworthiness
67. Integrity policy
68. Structuring and organisation
69. Duty of care
70. Client classification and know-your-customer
71. Ban on inducements
72. Notification obligations
73. Offering investment objects
74. Granting credit 203
75. Offering units in investment funds 205
76. Intermediation
77. Providing investment services
78. Relationships between financial firms
VII.
Part 5 - Market conduct supervision of financial firms
79. Rules for the offering of securities
80. Rules for information provision by issuers
81. Rules for access to Dutch markets for market operators and for managing a regulated market
82. Rules for disclosure of votes, capital, control and capital interest in issuers
83. Rules to prevent market abuse
84. Securities-related market conduct of business supervision
85. Public bids for securities
86. Code of conduct for institutional investors
VIII.
Part 6 - Special measures relating to the stability of the financial system
87. Immediate measures and expropriation
88. Legal protection and compensation
Index
HKD 299.25

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