Supervisory Disclosure Requirements of the FSMA Supervisory Disclosure Requirements of the FSMA under Investment Firms Directive Lists This information is not available in English. Please choose the Dutch or French version to continue. Legislation Laws 02/08/2002 Law of 2 August 2002 on the supervision of the financial sector and on financial services(pdf - 451.34 KB) Files law_02-08-2002.pdf (pdf - 451.34 KB) (Unofficial consolidated version: 07/2013) Regulations 27/11/2019 Regulation (EU) 2019/2033 of the European Parliament and of the Council of 27 November 2019 on the prudential requirements of investment firms and amending Regulations (EU) No 1093/2010, (EU) No 575/2013, (EU) No 600/2014 and (EU) No 806/2014(pdf - 770.67 KB) Files Regulation (EU) 2019/2033 of the European Parliament and of the Council of 27 November 2019 on the prudential requirements of investment firms and amending Regulations (EU) No 1093/2010, (EU) No 575/2013, (EU) No 600/2014 and (EU) No 806/2014 (pdf - 770.67 KB) 26/06/2013 Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012(pdf - 7.17 MB) Files Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and amending Regulation (EU) No 648/2012 (pdf - 7.17 MB) Circulars, communications and handbook Circulars 18/11/2009 CBFA_2009_32 Circular to financial institutions on acquisitions, increases, reductions and disposals of qualifying holdings(pdf - 49.75 KB) Files cbfa_2009_32.pdf (pdf - 49.75 KB) Attachment(s) Annex: - Change in the capital and its composition - Occasional statement (docx - 127.98 KB) Annex: - Change in the capital and its composition - Occasional statement (pdf - 31.9 KB) The capital and its composition - Annual statement (docx - 128.86 KB) The capital and its composition - Annual statement (pdf - 34.69 KB) 07/04/2009 CBFA_2009_17 Financial services via the Internet: Prudential requirements(pdf - 71.88 KB) Files cbfa_2009_17.pdf (pdf - 71.88 KB) Attachment(s) Sound practices for managing Internet security risks (pdf - 63.06 KB) 30/03/2007 PPB-2007-6-CPB-CPA CBFA's prudential expectations on financial institutions' sound governance(pdf - 169.11 KB) Files ppb_2007_6_cpb_cpa.pdf (pdf - 169.11 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(pdf - 524.64 KB) Files fsma_2019_07_en.pdf (pdf - 524.64 KB) Attachment(s) 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 (docx - 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 (pdf - 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(pdf - 375.3 KB) Files fsma_2019_06_en.pdf (pdf - 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(pdf - 480.55 KB) Files fsma_2018_08_en.pdf (pdf - 480.55 KB) Attachment(s) Provision of investment services and activities passport notification - Article 34 of Directive 2014/65/UE (docx - 69.76 KB) Provision of investment services and activities passport notification - Article 34 of Directive 2014/65/UE (pdf - 523.6 KB) Branch passport notification - Article 35 of Directive 2014/65/UE (docx - 69.03 KB) Branch passport notification - Article 35 of Directive 2014/65/UE (pdf - 423.73 KB) Tied agent passport notification - Article 35 of Directive 2014/65/UE (docx - 67.04 KB) Tied agent passport notification - Article 35 of Directive 2014/65/UE (pdf - 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 (docx - 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 (pdf - 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 financial institutions(pdf - 508.43 KB) Files fsma_2017_18_en.pdf (pdf - 508.43 KB) Attachment(s) Form A / Statement by natural persons of acquisitions or increases in qualifying holdings (docx - 102.1 KB) Form A / Statement by natural persons of acquisitions or increases in qualifying holdings (pdf - 679.27 KB) Form B / Statement by legal persons of acquisitions or increases in qualifying holdings (docx - 105.31 KB) Form B / Statement by legal persons of acquisitions or increases in qualifying holdings (pdf - 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 (docx - 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 (pdf - 700.95 KB) Form Cbis / Individual statement supplementary to the statement referred to in Form C (docx - 61.29 KB) Form Cbis / Individual statement supplementary to the statement referred to in Form C (pdf - 264.58 KB) Form D / Statement relating to a disposal or reduction of a qualifying holding (docx - 87.29 KB) Form D / Statement relating to a disposal or reduction of a qualifying holding (pdf - 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 (docx - 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 (pdf - 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 (pdf - 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(pdf - 39.56 KB) Files fsma_2019_17_en_0.pdf (pdf - 39.56 KB) Attachment(s) Guidelines On the application of C6 and C7 of Annex 1 of MiFID II (pdf - 228.17 KB)
