Regulators & Memberships

AFS’ subsidiaries operate under supervision of the Dutch Central Bank (DNB) and are in the possession of all required licences of the Netherlands Authority for the Financial Markets (AFM). AFS is also a member of the ICMA (International Capital Market Association) and ACI Nederland (The Financial Markets Association). The company is also a participant in DSI (Dutch Securities Institute) and its traders have been registered at DSI. The activities of the London office are regulated by the FSA (Financial Services Authority), the activities of the Zurich branch by the FINMA.

 

The Netherlands

AFM
– Equity Derivatives Department: licences a, b and d

Beleggingsdienst (2:96) a Ontvangen en doorgeven orders – vergunning vanaf 29 dec 2012
Beleggingsdienst (2:96) b Uitvoeren orders voor rekening cliënten – vergunning vanaf 27 jun 2001
Beleggingsdienst (2:96) d Beleggingsadvies – vergunning vanaf 01 nov 2007

– Interest & Fixed Income Department: licences b, d en f

Beleggingsdienst (2:96) b Uitvoeren orders voor rekening cliënten – vergunning vanaf 03 nov 1999
Beleggingsdienst (2:96) d Beleggingsadvies – vergunning vanaf 01 nov 2007
Beleggingsdienst (2:96) f Plaatsen zonder plaatsingsgarantie – vergunning vanaf 27 okt 2011

DSI (Dutch Securities Institute):
Participant numbers:
Equity Derivatives Department (statutory Brokers B.V.): 3110
Interest Department (statutory Moneybrokers B.V.): 3211
Fixed Income Department (statutory Moneybrokers B.V.):17640

 

United Kingdom

AFS Londen Limited is authorised by the Financial Conduct Authority (FCA), previously called the Financial Services Authority (FSA).
Licence number FCA: 20784.
FSA licence from April 2nd 2002
FCA licence from April 1st 2013

 

Switzerland

AFS Equity & Derivatives – Regensdorf Branch Swiss is regulated by Finma.
AFS Equity & Derivatives Regensdorf has a licence as a Securities Dealer obtained from Finma.
AFS Equity & Derivatives Regensdorf is also a reporting member to Six – Swiss Exchange.

Finma Code = 251832The

 

Germany

AFS Interest – Frankfurt Branch is regulated by the BAFIN and the Bundesbank.

 

Trade Organisations

ACI Company member Nederland

ICMA (International Capital Market Association)
Administrated under number 56.7384

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