Communication NBB_2024_10 on qualifying holdings in financial institutions

Circulars and communications

NBB_2024_10

Full title

Communication NBB_2024_10 to persons intending to acquire, increase, reduce or transfer a qualifying holding in the capital of a financial institution and to persons owning a qualifying holding

Publication date

Area of responsiblity

Supervision of financial institutions Cross-cutting and international aspects

Sector

Financial services groups Credit institutions Stockbroking firms Insurance and reinsurance companies Institutions authorised to hold dematerialised securities Payment institutions and e-money institutions

Theme

Shareholders and management System of Governance - Overarching circular System of Governance - Specific circulars

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Annexes

Joint Guidelines of the ESAs (EBA, EIOPA and ESMA) on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector (published on 5 May 2017) ECB SSM Guide on qualifying holding procedures (May 2023) Communication NBB_2025_05 / Digitisation of the qualifying holding (QLF) forms and new validation method for the QLF and fit & proper (FAP) forms OneGate documentation

Forms

Forms for credit institutions, financial holding companies and mixed financial holding companies belonging to a Belgian banking group

Platform where the digitised form can be found PDF version of the form (for information purposes only) Form QLF / Statement for the purpose of prudential assessment of acquisitions or increases of qualifying holdings in the capital of a credit institution

[1] Belgian specificities: PDF IMAS Available for download on the IMAS website Form B / “Fit & proper” form for senior managers of a proposed qualifying shareholder that is a legal entity OneGate PDF Form C / Statement of a disposal or reduction of a qualifying holding in the capital of a financial institution OneGate PDF Form D / Statement for information purposes of an acquisition or disposal of a holding in a financial institution that crosses the threshold of 5% of the voting rights or capital OneGate PDF Form E / Statement of “new information” OneGate PDF

Forms for financial institutions other than banks (stockbroking firms, payment institutions, electronic money institutions, custodian banks, central securities depositories, institutions providing support to central securities depositories or central counterparties, insurance and reinsurance companies, investment holding companies, insurance holding companies, and mixed financial holding companies belonging to an investment or insurance group)

Platform where the digitised form can be found PDF version of the form (for information purposes only) Form A / Statement for the purpose of prudential assessment of acquisitions or increases of qualifying holdings in the capital of a non-bank financial institution OneGate PDF Form B / “Fit and proper” form for senior managers of a proposed qualifying shareholder that is a legal entity OneGate PDF Form C / Statement of a disposal or reduction of a qualifying holding in the capital of a financial institution OneGate PDF Form D / Statement for information purposes of an acquisition or disposal of a holding in a financial institution that crosses the threshold of 5% of the voting rights or capital OneGate PDF Form E / Statement of “new information” OneGate PDF Privacy statements ECB Privacy Statement NBB Privacy Statement for fit and proper and qualifying holding assessments [1] The IMAS forms should be used by default except in the case of financial holding companies and mixed financial holding companies of less significant credit institutions, for which Form A (available in OneGate) should be used.