Notification of a person to be appointed as policymaker or co-policymaker at an audit firm with a regular licence
Any appointment of a policymaker or co-policymaker is subject to a prior assessment by the AFM of the person’s trustworthiness.
Start of assessment of prospective policymaker or co-policymaker
The trustworthiness of all policymakers and co-policymakers at audit firms must be assessed. Therefore, the AFM performs a trustworthiness assessment prior to the person’s appointment. To this end, you should ensure that the prospective policymaker or co-policymaker completes the trustworthiness assessment form correctly and in full.
If any of the details entered in the form are incorrect, if the form has not been completed in full or if the data provided to the AFM are incorrect or incomplete, this will have a big impact on the trustworthiness assessment. You need to submit the form in our AFM Portal. By submitting the form, you also notify us of the prospective appointment of the policymaker or co-policymaker.
Confirmation of appointment
Once the AFM has informed you in writing that we have established the trustworthiness of the prospective policymaker or co-policymaker, you must notify us of the definitive appointment of this person in our AFM Portal prior to the appointment. After you have notified us of the definitive appointment, the policymaker or co-policymaker will be included in our public register.
Notification of background information and changes; possibility of reassessment
You must notify us of any new background information or any change to background information on a policymaker or co-policymaker. This includes changes to details that the AFM needs to be made aware of in order to assess this person’s trustworthiness. Background information includes, for example, a record of a measure imposed on the person by a disciplinary court or a criminal record. We will then determine on the basis of this new information whether this requires a reassessment of the person’s trustworthiness.