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Investment firms

Financial enterprises are covered by the supervision conducted by the Netherlands Authority for the Financial Markets [Autoriteit Financiële Markten] (AFM). This supervision focuses on orderly and transparent financial market processes, integrity of relations between market players and due care in the provision of services to clients.

The supervision of financial enterprises is subject to the Act on Financial Supervision [Wet financieel toezicht] (Wft). This Act came into effect on 1 January 2007 and consists of six parts:

General, Market Access for Financial Enterprises, Prudential Supervision of Financial Enterprises, Supervisionof the Conduct of Financial Enterprises, Supervision of Financial Markets and Supervision of Clearing and Settlement Systems. 

The part on the Supervision of the Conduct of Financial Enterprises in the Wft contains rules which financial enterprises have to observe when providing their services, such as the rules for informing consumers (transparency) and the financial enterprises’ duty of care.

Investment firms are securities brokers and portfolio managers

The AFM is the licensing body for investment firms as referred to in the Wft.The following are a number of relevant issues within the framework of the Wft.

Rules on market abuse

Contact information Investment firms

Questions in relation to applying for and the granting of a licence can be addressed to AFM Business Desk.  You can find more information on the contact page

Questions of a general nature can be submitted via our general contact form.