Mandatory notifications
Managers are obliged to report material changes, incidents and pre-marketing activities to the AFM.
Material changes
The AFM grants a licence after it has been established that the company complies with the licence requirements. If something changes in your company, it may affect the licence. Therefore, you must report material changes in a timely manner.
Examples of material changes that you must report include:
• Changes to subjects that have been assessed in the context of the granting of a licence, which you send by e-mail to meldingenaifmd@afm.nl
• Changes to an investment fund managed by your company, which you send by e-mail to meldingenaifmd@afm.nl For prospectus changes, please use this special form.
• Acquisition or termination of a shareholding and/or control of an undertaking
• Appointment of an external valuer or termination of this appointment
Other reports
• report abuses and incidents, in accordance with, among others, Sections 4:11, 4:92 and 4:97 of the Financial Supervision Act. You report this by e-mail via meldingenaifmd@afm.nl and use the special form for this.
• Pre-marketing, this can be done via the form on the page about reporting pre-marketing.
You can also register and deregister investment funds and verifiable persons at the AFM Portal. Applications for the granting or withdrawal of a (partial) licence or European passports also go through the AFM Portal.