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    Financial Supervision Act

    Type of arrangement law
    Date of last change 1 May 2021
    Id. no. BWBR0020368
    Legislative body First responsible ministry:Finance

    Annex to article 1:79 Financial Supervision Act

    Violation of regulations made by or under Art:

    General section

    1:5a(2)(k) and (l) and (3),

    1:10

    1:28, second and third paragraphs

    1:58, second and third paragraphs

    1:58a, second paragraph

    1:58b, second paragraph

    1:58c, third paragraph

    1:59, second paragraph

    1:67, first paragraph

    1:74, first paragraph

    1:75, paragraph 1, insofar as it concerns non-compliance with a direction given with respect to Article 4:24a, paragraph 1 or 2.

    1:75a

    1:76, eighth paragraph, introductory phrase and part a

    1:77, first paragraph

    1:77c

    1:77d, first to third paragraph

    1:77f

    1:89

    1:113

    1:114, paragraphs 1 and 2

    1:116

    1:117, paragraphs 1 through 3

    1:118

    1:119

    1:120, first, second and fourth paragraphs

    1:121, first paragraph

    1:122(1)

    1:124, first paragraph

    1:125, paragraphs 1 and 2

    1:127

    1:128, second and third paragraphs

    Part Market Access Financial Companies

    2:3.0a, paragraphs one and four

    2:3.0b, first paragraph

    2:3.0e

    2:3.0f, paragraphs 1 and 4.

    2:3.0g, first paragraph

    2:3.0h

    2:3.0j

    2:3.0k, paragraphs 1 and 4.

    2:3.0l, first paragraph

    2:3.0n

    2:3a, first paragraph

    2:3e, paragraphs 1, 2 and 3.

    2:3f(1)

    2:3g, first paragraph

    2:4, paragraph 1

    2:6, paragraph 1

    2:8, paragraph 1

    2:9, paragraphs 1 and 2

    2:10, first, second and fourth paragraphs

    2:10a, first paragraph

    2:10e(1)

    2:10f(1)

    2:11, paragraph 1

    2:14, second paragraph

    2:15, paragraphs 1 and 2

    2:16, paragraphs 1 and 3

    2:18, paragraphs 1 and 2

    2:20

    2:24, second paragraph

    2:25, paragraphs 1 and 2

    2:26

    2:26a(1)

    2:26c(1)

    2:26d(1)

    2:26f(1)

    2:27(1)

    2:34, second paragraph

    2:35

    2:36, paragraphs 1 through 5

    2:38, paragraphs 1 and 2

    2:39, paragraphs 1 and 2

    2:40(1)

    2:45

    2:46

    2:48(1)

    2:50(1)

    2:52(1)

    2:53, paragraphs 1 and 2

    2:54, paragraphs 1, 2 and 4

    2:54a, first paragraph

    2:54c, first paragraph

    2:54d, first paragraph

    2:54f, first paragraph

    2:54g, first paragraph

    2:54i, first paragraph

    2:54l, first paragraph

    2:54n, first paragraph

    2:54o

    2:54q

    2:55(1)

    2:60(1)

    2:65

    2:66a, third and sixth paragraphs

    2:69b, first paragraph

    2:69c, paragraphs 1 and 3

    2:70

    2:70, second paragraph

    2:70a

    2:71(1)

    2:72(1)

    2:73, paragraphs 1 and 2

    2:75(1)

    2:80(1)

    2:81, third and fourth paragraphs

    2:84, paragraphs 1 and 2

    2:86, subsection 1

    2:90 first and second paragraphs

    2:92(1)

    2:96(1)

    2:100, second paragraph

    2:101(1)

    2:102(1)

    2:103

    2:103a(1)

    2:103b

    article 2:104a, first paragraph

    2:106.0a, first paragraph

    2:106a, paragraphs 1 and 4

    2:107(1)

    2:107a, first paragraph

    2:108, first paragraph

    2:110(1)

    2:111(1)

    2:112(1)

    2:114(1)

    2:115(1)

    2:117(1)

    2:118(1)

    2:120(1)

    2:121, first paragraph

    2:121a, first paragraph

    2:121c first, fifth, sixth and ninth paragraphs

    2:121d first, fifth, sixth and ninth paragraphs

    2:121e

    2:121f

    2:121g

    2:121h

    2:122(1) and (4)

    2:122a, first paragraph

    2:123, first, third to fifth paragraphs

    2:124b, paragraphs 1 and 2

    2:125, paragraphs 1, 6 and 7

    2:125a, paragraphs 1 and 2 and 5 and 6

    2:126(1)

    2:127(1)

    2:128(5)

    2:129, paragraphs 1 and 3

    2:130(1)

    Part Prudential Supervision of Financial Undertakings

    3:2, fifth and sixth paragraphs

    3:5, paragraphs 1 and 4

    3:6(1)

    3:7, paragraphs 1 and 4

    3:8, first to third and fifth paragraphs

    3:9, paragraph 1

    article 3:9a, first paragraph

    3:10, paragraphs one to three

    3:15, paragraphs 1 and 2

    3:16, paragraphs one to three

    3:17, paragraphs 1 and 2

    3:17(2), introductory phrase and (c)(4)

    article 3:17, sixth paragraph

    3:17a, paragraphs one through three

    3:17b, first to third and fifth paragraphs

    3:17c, paragraphs 1 and 3

    3:18, paragraphs one to three

    3:18b(1)

    3:19, paragraphs 1 and 2

    3:19a

    3:20

    3:20a

    3:21, paragraphs 1 and 2

    3:24

    3:24.0b

    3:29, paragraphs one to three

    3:29a(1) and (2).

    3:29b

    3:29c(1) and (4)

    3:30(1)

    3:32

    3:33a, second paragraph

    3:33b

    3:33c

    3:34

    3:35

    3:35a, paragraphs 1 and 2

    3:36, paragraphs 1, 3 and 6

    3:37, paragraphs one to three

    3:38

    3:38a

    3:38b

    3:39, paragraphs 1 and 2

    3:40

    3:41

    3:42

    3:43, second paragraph

    3:44(1)

    3:47, first to third, fifth and sixth paragraphs

    3:48

    3:51

    3:52

    3:53, first to third, fifth and sixth paragraphs

    3:54(3)

    3:55, second paragraph

    3:55a, paragraphs 1 and 2

    3:57, paragraphs 1, 2, 4 and 6

    3:57(5)

    3:57a

    3:57b

    3:59, second paragraph

    3:62, second paragraph

    3:62a, third through sixth paragraphs

    3:62b, paragraphs 1 and 2

    3:62ba, paragraphs one through six

    3:63(1) to (3)

    3:63(3)

    3:66

    3:67, paragraphs 1 to 5

    3:68, paragraphs 1 and 3

    3:68a, paragraphs 1 and 2

    3:69, paragraphs 1 and 2

    3:69a

    3:70(1)

    3:71, paragraphs 1 and 2

    3:72, first, third to seventh paragraph

    3:73

    3:73a

    3:73c(1) and (2)

    3:74(1) and (2)

    3:74a(1) to (3)

    3:74b(1) and (2)

    3:74c

    3:75

    3:76, paragraphs 1 and 2

    3:77

    3:78(1) and (2)

    3:81(1) to (3)

    3:82, paragraphs 1 and 2

    3:83(1) and (2)

    3:86, paragraphs 1 and 2

    3:87, paragraphs 1 and 2

    3:88, paragraphs 1, 2 and 4

    3:95(1)

    3:96, paragraphs 1 and 4

    3:97

    3:97(1)

    3:99(1)

    3:103(1) to (3)

    3:104(1) and (3)

    3:105(4)

    3:106, first paragraph

    3:108a(1)

    3:110, fourth and fifth paragraphs

    3:111(3)

    3:111a, paragraphs 1, 2 and 6

    3:111c

    3:112(1)

    3:113, paragraphs 1 and 2

    3:114(1)

    3:114a, first paragraph

    3:116

    3:119(1)

    3:120, paragraphs 1 through 5 and 7

    3:124(2)

    3:125(1)

    3:129, paragraphs 1 and 2

    3:130(1)

    3:131(1)

    3:131a(1)

    3:132(3)

    3:135, paragraphs 1 to 3 and 6

    3:136, paragraphs 1 and 2

    3:137, first paragraph

    3:141(1)

    3:143

    3:144(1)

    3:146(1)

    3:148(1)

    3:259(1) and (2)

    3:262

    3:263

    3:264

    3:267, third through fifth paragraphs

    3:267a, paragraphs 1 through 4

    3:267b, paragraphs 1 through 4

    3:267c, first paragraph

    3:267h

    article 3:267i, first paragraph

    3:269(1) and (2)

    3:269a, paragraphs 1 and 3

    3:273(1)

    3:273a

    3:273b

    3:273c

    3:273d

    3:277a, first paragraph

    3:279(1) and (4)

    3:280, second to fourth paragraphs

    3:280a

    3:280g

    3:281

    3:281a, second and third paragraphs

    3:281b, paragraphs 1 and 2

    3:284(1)

    3:288a, paragraphs 1 to 3 and 5

    3:288b, paragraphs 1 through 3

    3:288e, paragraphs 1 and 2

    3:288f, paragraphs 1 and 2

    3:288h, second to fifth paragraphs

    3:288i, paragraphs 1, 3 and 4

    3:296, paragraphs 1 to 4

    3:297, paragraphs 1 through 3 and 5

    3:298(1) to (3) and (5)

    3:299, paragraphs 1 and 2

    3:301(1)

    3:302(1)

    3:303, paragraphs 1 and 2

    3:304

    3:305, paragraphs 1, 2 and 4

    3:306

    Part Special measures and provisions concerning financial enterprises

    3A:13(1) and (3)

    3A:14(1)

    3A:15(1)

    3A:16(1)

    3A:21(6)

    3A:22

    3A:26, fourth paragraph

    3A:36

    3A:42

    3A:44(6)

    3A:45

    3A:47(1), (2) and (3).

    3A:48(3), (5) and (6).

    3A:71(2) and (3)

    3A:72(2)

    3A:83(2)

    3A:138(2)

    Part Conduct supervision of financial enterprises

    2:67a, first, third and fourth paragraphs

    4:3, paragraphs 1 and 4

    4:4(1)

    4:4a

    4:5(3)

    4:6, paragraphs 1 and 2

    4:6a(1)

    Article 4:9, first to fourth paragraphs

    4:9.0a, first paragraph

    4:10, paragraphs 1 and 4

    4:11, paragraphs one to four

    4:13, paragraphs 1 and 2

    4:14, paragraphs one to three

    4:15, paragraphs 1 and 2

    4:16, paragraphs one to three

    4:17, paragraphs 1 and 3

    4:18a, paragraphs 1 and 2

    4:18b, second and third paragraphs

    4:18c(3)

    4:18d, paragraphs 1 and 2

    4:18e, paragraphs 1 and 2

    4:19(1) to (3)

    4:20, paragraphs 1, 3 and 4

    4:21

    4:22, paragraphs 1 and 2

    4:22a, paragraphs one to three

    4:23, paragraphs one through six

    4:24, first to fourth paragraphs, sixth and seventh paragraphs

    4:25(1)

    4:25a(1)

    4:25b(1) and (2)

    4:25d

    4:26, paragraphs one through seven

    4:27, paragraphs 1, 2 and 4

    4:27a(1)

    4:30a, paragraphs one to three

    4:31(1) to (4)

    4:31a

    4:32(1)

    4:33, paragraphs one to three

    4:34(3)

    4:35

    4:37c

    4:37d(1) and (3)

    4:37e, paragraphs 1 and 2

    4:37j, paragraphs 1 and 2

    4:37k, paragraphs 1 through 4

    4:37l, paragraphs one to three

    4:37m, first paragraph

    4:37n

    4:37o, paragraphs 1 through 4

    4:37p, first paragraph

    4:37s, first paragraph

    4:37t

    4:37u

    4:37v, first, third and fourth paragraphs

    4:37y

    4:37z, paragraphs 1, 3 and 4

    4:39

    4:40

    4:42

    4:44, paragraphs 1 and 2

    4:46, paragraphs one to four

    4:46a

    4:47, paragraphs 1 through 5

    4:48(1) and (2)

    4:49(1) to (4)

    4:50(1) and (2)

    4:51, paragraphs 1 to 5

    4:52(1) to (3)

    4:52a

    4:53

    4:55

    4:57c, first to third and fifth paragraphs

    4:58

    4:59

    4:59a, first to third paragraph

    4:59b, paragraphs 1 and 2

    4:59c, first to seventh paragraph

    4:59d, paragraphs 1 through 6

    4:59e, paragraphs 1 and 2

    4:60(1) to (3)

    4:61(1)

    4:61a, paragraphs 1 through 5

    4:61b(1) to (4)

    4:62(1) to (4)

    4:62b, paragraphs 1 and 2

    4:62e, paragraphs 1 and 2

    4:62f, paragraphs 1 through 3

    4:62g, first paragraph

    4:62h, paragraphs 1 and 2

    4:62i

    4:62j, paragraphs 1 through 4

    4:62k

    4:62m, paragraphs 1 and 2

    4:62n

    4:62o, paragraphs 1 through 4

    4:62q, first paragraph

    4:62r, first to third paragraph

    4:62s, paragraphs 1 and 2

    4:62t, paragraphs 1 and 2

    4:62u, paragraphs 1, 2 and 4

    4:62v, first paragraph

    4:62w, paragraphs 1 and 2

    4:63(1) and (2)

    4:63a(1)

    4:65(1) to (3)

    4:66

    4:67, first paragraph

    4:68(1)

    4:69(1)

    4:70, paragraphs one to seven

    4:71(1) through (5)

    4:71a

    4:71b(1) to (3)

    4:71c

    4:71d, first to sixth paragraph

    4:71f

    4:71g, first paragraph

    4:71h

    4:71i, second to fourth paragraph

    4:74(1)

    4:75(1) to (3)

    4:75a(1)

    4:76, paragraphs 1 and 3

    4:76a

    4:76b

    4:76c

    4:76d

    4:77, paragraphs 1 through 4

    4:78(1) and (2)

    4:79(1)

    4:83(1)

    4:84(1) and (2)

    4:85, first and third to fifth paragraphs

    4:86

    4:87(1) to (4)

    4:87a

    4:88(1) to (4)

    4:89(1) and (2)

    4:89a

    4:89b(1) and (2)

    4:90, paragraphs 1 and 2

    4:90a, paragraphs 1 through 5

    4:90b, paragraphs 1 through 10 and 12

    4:90c, paragraphs 1 through 4

    4:90d, paragraphs 1, 2 and 4

    4:90e(1)

    4:91a, first, third to seventh and ninth to tenth paragraphs

    4:91aa

    4:91ab

    4:91b(1) to (4)

    4:91c

    4:91c, paragraphs 1 and 2

    4:91d

    4:91d, paragraphs 1 and 2

    4:91da, paragraphs 1 through 11

    4:91l, paragraphs 1 and 2

    4:91n, paragraphs 1 through 4

    4:91o, paragraphs 1 to 4 and 6

    4:91p

    4:93(1) to (4)

    4:94(1) to (3)

    4:95(1) to (3)

    4:96(1) and (2)

    4:97(1) and (3)

    4:99(1) and (2)

    4:100(1) to (3)

    4:100a, paragraphs 1 and 2

    4:100b(1) to (3)

    4:100c

    4:100d(1) and (2)

    4:100f

    Part Conduct Supervision of Financial Markets

    4:15a, paragraphs 1, 2 and 4

    4:74b(1), (2) and (3)

    4:74c

    5:3

    5:4

    5:25a, second paragraph

    5:25c, first and sixth to ninth paragraphs

    5:25d(1) and (3)

    5:25e

    5:25f

    5:25h

    5:25m, paragraphs 1, 2, 5 and 6

    5:25p

    5:25q

    5:25v, third paragraph

    5:25w

    5:26(1)

    5:27(3) and (4)

    5:29, paragraphs 1, 2, 4 and 5

    5:29a, first paragraph

    5:30

    5:30a(1) and (4)

    5:30b(1) and (3)

    5:30c

    5:30d(1)

    5:30e

    5:31, first, third and fourth paragraphs

    5:32(1) to (4)

    5:32a, first to third paragraph

    5:32b, paragraphs 1, 2, 3 and 5

    5:32c

    5:32d, paragraphs 1 and 7

    5:32e

    5:32f(1)

    5:32g

    5:32j, paragraphs one through three

    5:32k, paragraphs 1, 2 and 4

    5:32l(1) to (3)

    5:32m

    5:51(1)

    5:68(1)

    5:74(1), (3) and (4),

    5:76(2),

    5:78

    5:79

    5:80(2)

    5:80a(1) and (4)

    5:86(1) and (2)

    5:88(1), (2), (4) and (5),

    5:88a(1) and (2)

    5:89b, first paragraph

    5:89e(1)

    5:89f, first, second and fourth paragraphs

    5:89g

    5:89h

    Information valid on 01-05-2021

    Regulations based on this (delegated regulations)

    No

    Policies and circulars that have this as legal authority

    No

    Articles or similar text referring to this

    1. Act implementing prospectus regulation
      Art: Ia

    2. Financial Supervision Act
      article: 1:79

    3. Amendment regulation Temporary regulation on introduction Wft
      Article: I

    Summary of changes for this

    (01-05-2021)

    Origination source

    Entry into force

    Effective date

    Retroactivity

    Subject

    Signature

    Announcement

    Chamber documents

    Signature

    Announcement

    Note

    Trailer

    35514

    Trailer

    31911

    2021

    modification

    2020

    Stb. 2020, 380

    35440

    2020

    Stb. 2020, 380

    Alg. 1

    2021

    modification

    2021

    Stb. 2021, 131

    35599

    2021

    Stb. 2021, 131

    2020

    modification

    2020

    Stb. 2020, 509

    35559

    2020

    Stb. 2020, 510

    2020

    modification

    2020

    Stb. 2020, 380

    35440

    2020

    Stb. 2020, 380

    Alg. 2

    2020

    modification

    2020

    Stb. 2020, 151

    35238

    2020

    Stb. 2020, 320

    2019

    modification

    2019

    Stb. 2019, 256

    35003

    2019

    Stb. 2019, 275

    2019

    modification

    2019

    Stb. 2019, 190

    35108

    2019

    Stb. 2019, 244

    Alg. 3

    2019

    modification

    2018

    Stb. 2018, 503

    34813

    2019

    Stb. 2019, 60

    2019

    modification

    2018

    Stb. 2018, 408

    34859

    2018

    Stb. 2018, 486

    modification

    2018

    Stb. 2018, 489

    34842

    2018

    Stb. 2018, 491

    2018

    modification

    2018

    Stb. 2018, 89

    34770

    2018

    Stb. 2018, 176

    2018

    modification

    2017

    Stb. 2017, 512

    34583

    2017

    Stb. 2017, 514

    Alg. 4

    2018

    modification

    2017

    Stb. 2017, 266

    34639

    2017

    Stb. 2017, 448

    2017

    modification

    2017

    Stb. 2017, 235

    34634

    2017

    Stb. 2017, 276

    2016

    modification

    2016

    Stb. 2016, 386

    34480

    2016

    Stb. 2016, 423

    2016

    modification

    2016

    Stb. 2016, 297

    34455

    2016

    Stb. 2016, 297

    Alg. 5

    2016

    modification

    2016

    Stb. 2016, 265

    34292

    2016

    Stb. 2016, 265

    2016

    modification

    2015

    Stb. 2015, 428

    34198

    2015

    Stb. 2015, 504

    2016

    modification

    2016

    Stb. 2016, 91

    34322

    2016

    Stb. 2016, 91

    2016

    modification

    2015

    Stb. 2016, 31

    34232

    2016

    Stb. 2016, 41

    2016

    modification

    2015

    Stb. 2015, 304

    33949

    2015

    Stb. 2015, 513

    modification

    13-12-2012
    together with
    24-06-2015

    Stb. 2012, 679
    together with
    Stb. 2015, 278

    33273
    together with
    34100

    2015

    Stb. 2015, 309

    Alg. 6

    2015

    modification

    2014

    Stb. 2014, 472

    33918

    2015

    Stb. 2015, 435

    modification

    2015

    Stb. 2015, 431

    34208

    2015

    Stb. 2015, 435

    Alg. 7

    2015

    modification

    2014

    Stb. 2014, 472

    33918

    2014

    Stb. 2014, 534

    2015

    modification

    2015

    Stb. 2015, 45

    33964

    2015

    Stb. 2015, 46

    2015

    modification

    2014

    Stb. 2014, 472

    33918

    2014

    Stb. 2014, 534

    2014

    modification

    2014

    Stb. 2014, 253

    33849

    2014

    Stb. 2014, 304

    2014

    modification

    2014

    Stb. 2014, 140

    33520

    2014

    Stb. 2014, 140

    2014

    modification

    2013

    Stb. 2013, 487

    33632

    2013

    Stb. 2013, 552

    modification

    2013

    Stb. 2013, 408

    33575

    2013

    Stb. 2013, 552

    modification

    2012

    Stb. 2012, 679

    33273

    2013

    Stb. 2013, 552

    2013

    modification

    2013

    Stb. 2013, 228

    33235

    2013

    Stb. 2013, 228

    2013

    modification

    2012

    Stb. 2012, 78

    32291

    2013

    Stb. 2013, 239

    2013

    modification

    2012

    Stb. 2012, 678

    33236

    2012

    Stb. 2012, 693

    2012

    modification

    2011

    Stb. 2011, 610

    32781

    2011

    Stb. 2011, 671

    2012

    modification

    2011

    Stb. 2011, 610

    32781

    2011

    Stb. 2011, 671

    Alg. 8

    through 30-04-2011

    modification

    2011

    Stb. 2011, 670

    32826

    2011

    Stb. 2011, 671

    2011

    modification

    2011

    Stb. 2011, 357

    32622

    2011

    Stb. 2011, 357

    Alg. 9

    2011

    modification

    2011

    Stb. 2011, 248

    32036

    2011

    Stb. 2011, 306

    2011

    modification

    2011

    Stb. 2011, 206

    32292

    2011

    Stb. 2011, 206

    2011

    modification

    2010

    Stb. 2010, 887

    31891

    2010

    Stb. 2010, 889

    2009

    modification

    2009

    Stb. 2009, 436

    31892

    2009

    Stb. 2009, 436

    2009

    modification

    2008

    Stb. 2008, 545

    31468

    2008

    Stb. 2008, 582

    modification

    2008

    Stb. 2008, 476

    31093

    2008

    Stb. 2008, 579

    2008

    through 01-10-2008

    modification

    2008

    Stb. 2008, 394

    31724

    2008

    Stb. 2008, 394

    2008

    modification

    2008

    Stb. 2008, 333

    31131

    2008

    Stb. 2008, 335

    2007

    modification

    2007

    Stb. 2007, 406

    31086

    2007

    Stb. 2007, 408

    Alg. 10

    2007

    modification

    2007

    Stb. 2007, 202

    30419

    2007

    Stb. 2007, 390

    2007

    new-arrangement

    2006

    Stb. 2006, 475

    29708

    2006

    Stb. 2006, 664

    modification

    2006

    Stb. 2006, 613

    30672

    2006

    Stb. 2006, 664

    Comments

    • 1) A change order was erroneously worded that is not entirely correct.

    • 2) A change order was mistakenly worded that is not entirely correct.

    • 3) Erroneously an amendment was formulated to the Part on the Supervision of the Conduct of Financial Markets which cannot be implemented. Conduct Supervision of Financial Markets that cannot be implemented.Article Ia of Stb. 2019/190 contains transitional law regarding this amendment.

    • 4) Erroneously, for the Part of Conduct Supervision of Financial Companies was formulated a change order that is not entirely correct.

    • 5) A change order was erroneously worded that is not entirely correct.

    • 6) By mistake, in Stb. 2012/679 jo. Stb. 2015/278 an amendment order that is not entirely correct.

    • 7) By mistake, with regard to the mention of article 1:76 and article 3:62a a change order was formulated which is not entirely correct.

    • 8) By mistake, the change order for the Part on Conduct of Business Supervision of Financial Markets was not entirely correct. Markets a change order has been formulated which is not entirely correct.Erroneously, for the Part Conduct Supervision of Financial Undertakings a change order was formulated that cannot be implemented.

    • 9) By mistake, the enumeration of articles from the Part Market Access of Financial Undertakings is subject to a change order that is not entirely correct.

    • 10) By mistake, a change order was formulated for Article 4:100 and Article 5:30, paragraphs 1 and 3, which is not entirely correct.

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