Professionals

Portfolio management and investment advice companies

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)
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)
- Communications
  
  21/02/2019
  FSMA_2019_07
  Provision or supply of investment services and/or activities in Belgium on a cross-border basis by foreign investment firms(524.64 KB)
  Provision or supply of investment services and/or activities in Belgium on a cross-border basis by foreign investment firms. Articles 12 and 14 of the Belgian Law of 25 October 2016(61.78 KB) Provision or supply of investment services and/or activities in Belgium on a cross-border basis by foreign investment firms. Articles 12 and 14 of the Belgian Law of 25 October 2016(431.05 KB)
  
  21/02/2019
  FSMA_2019_06
  Provision of investment services and performance of investment activity in Belgium by companies governed by the law of the United Kingdom after entry into force of Brexit(375.3 KB)
  
  19/06/2018
  FSMA_2018_08
  Provision or supply of investment services and/or activities on a cross-border basis by portfolio management and investment advice companies governed by Belgian law(480.55 KB)
  Provision of investment services and activities passport notification - Article 34 of Directive 2014/65/UE(69.76 KB) Provision of investment services and activities passport notification - Article 34 of Directive 2014/65/UE(523.6 KB) Branch passport notification - Article 35 of Directive 2014/65/UE(69.03 KB) Branch passport notification - Article 35 of Directive 2014/65/UE(423.73 KB) Tied agent passport notification - Article 35 of Directive 2014/65/UE(67.04 KB) Tied agent passport notification - Article 35 of Directive 2014/65/UE(497 KB) Termination of the operation of a branch or the use of a tied agent established in another Member State – Article 35 of Directive 2014/65/EU(57.79 KB) Termination of the operation of a branch or the use of a tied agent established in another Member State – Article 35 of Directive 2014/65/EU(299.99 KB)
  
  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)
- ESMA Guidelines
  
  05/08/2019
  FSMA_2019_17
  Application of points 6 and 7 of Section C of Annex 1 of MiFID II: implementation by the FSMA(36.15 KB)
  Guidelines On the application of C6 and C7 of Annex 1 of MiFID II(228.17 KB)

Reports of infringements

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