Informative Notice
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Licence to carry out investment services and transactions
A brokerage company may pursue those activities for which it has acquired a licence to carry out investment services and transactions. The licence is issued by the Securities Market Agency.
A special form for filing an application to issue the licence is not prescribed. Applicants merely address the required evidence to the Agency.
Companies must pay a fee for the licence to be issued. The amount of the fee for the issue of the licence depends on the number of investment services and transactions the company wishes to carry out. Regardless of the number, the fee must not be lower than EUR 800 and no higher than EUR 2,400.
On the basis of the licence issued, the Agency enters the company in the register of companies with a licence.
Conditions
These terms apply to activity Brokerage services
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The statute or a contract of members of a brokerage company in the form of a certified copy of a notarial record must be attached to a request for the issue of a licence .
Evidence
Statute or a contract of members
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The business plan of a brokerage company must be prepared for the first three years of future operations. It must include:
- a description of transactions the company intends to carry out;
- a description of the management system (the management system must have a clear organisational structure, a suitable internal control system, and a suitable income system), and
- a description of the manner for the realisation of organisational requirements.
Evidence
Business plan
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A list of shareholders must include basic information on shareholders, i.e.
- name,
- permanent or temporary residence for natural persons or the head office for legal entities,
- information on the number and share of shares acquired upon the establishment of the brokerage company.
Evidence
List of shareholders
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A broker is a natural person who carries out one or more types of business for a brokerage company on the basis of employment or another legal basis:
- implementation of client orders;
- investment advisory services;
- management of financial instruments of clients.
If you wish to become a broker, you must be authorised by a member of the Ljubljana Stock Exchange.
To perform this occupation, a stockbroker licence issued by the Securities Market Agency on the basis of the conditions met must be acquired.
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Other evidence that prove that the conditions for the issue of a licence to carry out investment services and transactions to which the application refers must also be attached.
The type of evidence is attached in accordance with the requirements of the competent institution.
Procedures
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Licence to carry out investment services and transactions
Procedure costs
Fee: 800.00 €