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ARTICLE · 20 JANUARY 2014

Provisieverbod Voor Beleggingsondernemingen

De Brauw Blackstone Westbroek
De Brauw Blackstone Westbroek
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De Brauw Blackstone Westbroek

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Beleggingsondernemingen mogen geen provisie meer ontvangen van of betalen aan derden.

NetherlandsFinance and Banking
Francine Schlingmann
Francine Schlingmann
Jan Marten Van Dijk
Jan Marten Van Dijk
Joost Schutte
Joost Schutte
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Beleggingsondernemingen mogen geen provisie meer ontvangen van of betalen aan derden. Hun klanten moeten nu rechtstreeks betalen voor (individueel) vermogensbeheer, beleggingsadvies en execution-onlydienstverlening.

Dit blijkt uit het Wijzigingsbesluit financiële markten 2014, dat op 1 januari in werking is getreden. Beleggingsondernemingen mogen in het eerste kwartaal van 2014 echter wel provisies incasseren over 2013.

Anders dan in de consultatieversie is de reikwijdte van het provisieverbod beperkt tot dienstverlening aan niet-professionele beleggers Ook is het provisieverbod niet van toepassing op:

  • provisies die rechtstreeks door de belegger worden verstrekt
  • provisies die noodzakelijk zijn voor de dienstverlening of de dienstverlening mogelijk maken, zoals bewaarloon, afwikkelings- en beursvergoedingen, wettelijke heffingen of juridische kosten

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