Reports > ISI form DNB

ISI stands for Instelling Specifieke Informatie which translates to Institution Specific Information. For the implementation of its supervisory role DNB needs information of trust offices. For example the number and types of target entities and the nature of the services supplied by the trust offices. The information should be addressed to DNB by means of the ISI form report. The original ISI form and the disclosure (in Dutch) can be downloaded from DNB website.

Only the last ISI form is being supported.

Since version 7.6J.1 this is the ISI form of 2021 with the reference date of December 31, 2020.

See What's new in the ISI form.

To enable the ISI form function an item must be added to the custom menu: maatwerk.exe /ISIFORM.

Program

Initially details can be entered for general information of the trust office for which the ISI form is being made. Mill7 will remember these details for the next time.

Template

Select the Excel file that serves as a template for storing the data.

Contact Person

This is the contact person for DNB. Name, function, telephone numbers and e-mail address of this person will be placed in the form.

Trust Office

Enter the company code of the trust office for which the form is made. This should be a service company.

DNB Number

Enter the DNB or MDM relation number of the trust office.

Head Office

Enter the company code of the head office of the trust office mentioned above. If applicable.

Parameter file

Another file being used for filling in the ISI form is ISI_form_parameters_2020.xls. This file is provided in the Reports folder, but when a (customized) version exists in the Reports\Custom folder then that one will be used. The file can be opened for viewing or editing by using the Edit parameter file button. Remember to save a customized parameter file in the Reports\Custom folder.

The files contains dozens of parameters to manage which data from Relation Management can be applied to which question. In some cases file and field numbers can be chosen and also a set of codes to be used for selection. In other instances file and field number are prescribed and only a set of codes can be given. Some questions can be answered directly via parameters.

The first column in the file is for information only. Anything can be noted here.

The second column contains the parameter codes.

The third column and beyond contain the parameters needed for the selection of data.

For many parameter codes a limited number of parameters can be given, in most cases not more than one, but for the code_list parameters in most cases sets of up to twenty codes for selection can be entered. Exception to this is RISK_CODE_LIST for which four parameters have to be given.

For some paragraphs no provisions have been made in Mill7. These answers must be obtained in some other ways. For example by means of reports created in the Mill7 Report tool or in other systems. This concerns the following paragraphs.

1.4.1 to 1.4.2

1.5.1 to 1.5.8

1.6.1 to 1.6.3

2.1.4.3, 2.1.4.7, 2.1.4.8 2nd part, 2.1.4.10 and 2.1.4.11

2.1.5.2 to 2.1.5.4

2.1.7.31 and 2.1.7.32

3.2.1

Part 4 en part 5.

Explanation for filling in the ISI form

Based on the fore-mentioned selections data from Mill7 will be stored in the selected template.

How data in Mill7 should be found can be configured in the ISI_form_parameters_2020.xls file.

An example file is provided that can be used to describe the examples below.

CAUTION: The numbers shown do not represent all clients in the database. Instead only active clients of the selected service company are included.

If the trust office itself is present in Relation management with data, then this data will be excluded.

The paragraphs 1.2.1, 1.2.2 and 1.3 differ from this behaviour: The directors, policy makers and UBOs of the trust office counted are the ones found at the trust office itself in Relation Management.

For country recognition the two characters ISO 3166-1 country code is expected.

1. Trust office data

General data

General data is determined by the relation codes given in the main ISI form start up screen.

All values needed for the form will be retrieved from the companies and the person identified by the given codes.

Directors / Policy makers / UBOs of the trust office

The trust office code is entered in the start-up screen.

Persons entered in the Management file (F110) of Relation management for this trust office will be added to the report if their functions (also in F110) correspond with the function codes entered behind the MANAGEMENT_CODE_LIST (DIR and DIRA, for instance)and POLICYMAKERS_CODE_LIST parameters in the parameter file.

For a person to qualify as a UBO the person should be present in file F136 (UBOs) with a value "J" or "Y" in field 10. Furthermore, if the UBO turns out to be inactive on the reference date according to the start and end date, the UBO will be excluded.

The question regarding other roles these UBOs may have within the trust office will be answered as follows. When the code of a UBO of the trust office exists in one of the following files then the role related to that file will be added to the list of roles for the UBO.

Feeder (aanbrenger) = F132

Employee (werknemer) = F116

Supplier (leverancier) = Creditors

Customer (afnemer) = Debtors (with the trust office as service company)

Other (andere) = Shareholder (F121), Advisos (F114), Bank qualified (F113), Manager (F110), Other relation (F115)

When a UBO fulfils more than one of the roles mentioned then these roles will be specified in paragraph 1.3.8.

2. Clients

Identification of target entities

The selection of clients is determined by the trust office code. This code needs to be present in the field F111.SERV_COMP of the client company. Furthermore only active clients are included. This means that the field F111.STATUS must be included in the ranges of active status codes as it is entered at Maintenance > Settings > Invoicing > Misc. invoicing.

Determining whether target entities are settled inside or outside The Netherlands is done in General - Statutory seat (file F111, field 42). This is not adjustable.

the country is determined by the ISO code for The Netherlands, NL. If no country is mentioned the entity will be regarded as Dutch.

Risk

The location in Mill7 where the risks are maintained is also defined in the parameter file.

By default file 111, field 22 is entered, but file 140, Compliance DNB, also is widely used for storing risk information.

Target Entities

Managers not employed by the trust office and authorized to act independently

The POWERS_INDEP_AUTH_LIST parameter is used to indicate which powers apply. The MANAGEMENT_CODE_LIST parameter is used to determine which function codes are used for managers. The managers found in F110 who are in office, but not for the trust office for which the ISI-form is being made, are counted.

Target entities acting as manager for another Dutch or foreign taget entities

Target entities acting as managers are searched for in F110. Manager are defined by the MANAGEMENT_CODE_LIST parameter. Target entities found must be in office, but not for themselves or for the trust office for which the ISI form is made up.

Target entities directly related to real estate

Determination of values is achieved entirely by using the parameter file.

UBOs and PEPs

For UBOs no parameters are being used and for PEPs just one (PEP_DOC_CODE_LIST).

To let a person or firm qualify as a UBO he or it must be mentioned in file 136 (UBOs) and field 10 must be filled with the codes "Y" or "J".

If Person and Company field are entered, the code for the person is used to determine the country.

To let a person qualify as a PEP he needs to be a UBO for which a record exists in file 144 (Documents) with a document type listed after PEP_DOC_CODE_LIST and in which above that field 18 has been assigned the value 1 (Yes).

To be able to determine the nationality the country code must be entered in the nationality of the person. If not provided the relation will be considered Dutch.

3. Services

Domicile sec and other trust services

Services are entered in Services and fees (file F117, field 7). This cannot be adjusted.

Define which codes relate to which services in the parameter file.

Subdivision for activity type of target entity

With the aid of the parameter file, the location and code for activity is determined.

Codes not found for activities will be regarded as "other".