Professionals

Management companies of UCITS/AIF

Legislation
- Laws
  
  Law of 2 August 2002 on the supervision of the financial sector and on financial services(451.34 KB)
  (Unofficial consolidated version: 07/2013)
- Regulations
  
  Commission delegated regulation (EU) No 231/2013 of 19 December 2012 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to exemptions, general operating conditions, depositaries, leverage, transparency and supervision(1.66 MB)
Circulars and communications
- Circulars
  
  18/11/2009
  CBFA_2009_32
  Circular to financial institutions on acquisitions, increases, reductions and disposals of qualifying holdings(49.75 KB)
  Annex: - Change in the capital and its composition - Occasional statement(127.98 KB) Annex: - Change in the capital and its composition - Occasional statement(31.9 KB) The capital and its composition - Annual statement(128.86 KB) The capital and its composition - Annual statement(34.69 KB)
  
  30/03/2007
  PPB-2007-6-CPB-CPA
  CBFA's prudential expectations on financial institutions' sound governance(169.11 KB)
- Circulars - Conduct of business rules
  
  07/04/2009
  CBFA_2009_17
  Financial services via the Internet: Prudential requirements(84.68 KB)
  Sound practices for managing Internet security risks(63.06 KB)
- AIFM Directive
  
  27/03/2017
  FSMA_2017_07
  Alternative Investment Funds: Registration form for small-scale managers, governed by Belgian law, of private AIFs(75.81 KB) Alternative Investment Funds: Registration form for small-scale managers, governed by Belgian law, of private AIFs(336.63 KB)
  
  24/02/2017
  FSMA_2017_06
  Marketing AIFs in Belgium without a passport to professional investors (400.1 KB)
  Alternative Investment Funds: Notification of marketing of non-EEA AIFs managed by EEA AIFMs to professional investors in Belgium - Art. 36 AIFMD(307.07 KB) Alternative Investment Funds: Notification of marketing of non-EEA AIFs managed by EEA AIFMs to professional investors in Belgium - Art. 36 AIFMD(70.24 KB) Alternative Investment Funds: Notification of marketing of AIFs managed by non-EEA AIFMs to professional investors in Belgium - Art. 42 AIFMD(460 KB) Alternative Investment Funds: Notification of marketing of AIFs managed by non-EEA AIFMs to professional investors in Belgium - Art. 42 AIFMD(83.61 KB)
  
  01/09/2014
  FSMA_2014_09
  Reporting obligations of alternative investment fund managers to the FSMA(478.67 KB)
  
  23/06/2014
  FSMA_2014_03
  Entry into force of the Law of 19 April 2014 on alternative investment funds and their managers (42.33 KB)
  Law of 19 April 2014 on alternative investment funds and their managers: questions and answers on the entry into force of the AIFM Law(69.09 KB)
  
  02/07/2013
  FSMA_2013_11
  Directive 2011/61/UE on Alternative Investment Fund Managers: questions and answers on the transitional period(325.91 KB)
  Questions and answers on the transitional period provided for by Directive 2011/61/EU, and on the Belgian national provisions for transposing this Directive(218.56 KB)
- Communications
  
  29/09/2017
  FSMA_2017_18
  Communication to persons intending to acquire, increase, reduce or dispose of a qualifying holding in the capital of regulated entities(508.43 KB)
  Form A / Statement by natural persons of acquisitions or increases in qualifying holdings(102.1 KB) Form A / Statement by natural persons of acquisitions or increases in qualifying holdings(679.27 KB) Form B / Statement by legal persons of acquisitions or increases in qualifying holdings(105.31 KB) Form B / Statement by legal persons of acquisitions or increases in qualifying holdings(694.36 KB) Form C / Statement by trusts or similar legal constructions of acquisitions or increases in qualifying holdings in the capital of financial institutions(104.1 KB) Form C / Statement by trusts or similar legal constructions of acquisitions or increases in qualifying holdings in the capital of financial institutions(700.95 KB) Form Cbis / Individual statement supplementary to the statement referred to in Form C(61.29 KB) Form Cbis / Individual statement supplementary to the statement referred to in Form C(264.58 KB) Form D / Statement relating to a disposal or reduction of a qualifying holding(87.29 KB) Form D / Statement relating to a disposal or reduction of a qualifying holding(603.35 KB) Form E / Statement relating to acquisitions, increases or disposals of securities or units whereby the threshold of 5% of voting rights or capital is crossed(72.1 KB) Form E / Statement relating to acquisitions, increases or disposals of securities or units whereby the threshold of 5% of voting rights or capital is crossed(452.77 KB) Joint guidelines of the ESAs (EBA, EIOPA and ESMA) on the prudential evaluation of acquisitions and increases in qualifying holdings in financial sector entities published on 5 May 2017(583.87 KB)
  
  28/06/2017
  FSMA_2017_10
  Fit and proper questionnaires for directors, senior managers and key independent function holders(416.22 KB)
  Fit and proper questionnaire for an initial appointment(472.25 KB) Fit and proper questionnaire for an initial appointment(92.97 KB) Fit and proper questionnaire for a reappointment(385.31 KB) Fit and proper questionnaire for a reappointment(73.29 KB) Questionnaire on the collective fitness and propriety of the members of the statutory governing body and of senior manager(319 KB) Questionnaire on the collective fitness and propriety of the members of the statutory governing body and of senior manager(70.13 KB)
FSMA-standpunten

07/03/2017
FSMA_Opinion_2017_01
The notion of leverage in the context of the AIF Law
Provisions protecting the general good

Provisions aiming to protect the general good that may apply to the branches registered in Belgium of management companies of undertakings for collective investment governed by the law of another Member State of the European Economic Area(67.06 KB)

Provisions aiming to protect the general good that may apply to the management companies of undertakings for collective investment governed by the law of another Member State of the European Economic Area and that carry on activities in Belgium within the framework of the free provision of services(66.47 KB)

Reports of infringements

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