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
  
  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(68.39 KB) Provision of investment services and activities passport notification - Article 34 of Directive 2014/65/UE(520.23 KB) Branch passport notification - Article 35 of Directive 2014/65/UE(67.96 KB) Branch passport notification - Article 35 of Directive 2014/65/UE(423.39 KB) Tied agent passport notification - Article 35 of Directive 2014/65/UE(65.86 KB) Tied agent passport notification - Article 35 of Directive 2014/65/UE(496.12 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
  
  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)

Reports of infringements

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