Stockbroker licence

Applicants for stockbrokers must have at least a year's work experience in trading with financial instruments.

Evidence

• A copy of employment booklet or a copy of insurance periods (Pension and Disability Insurance Institute of the Republic of Slovenia – ZPIZ) or a photocopy of the M-1/M-2 form (Health Insurance Institute of Slovenia – ZZZS);
• a copy of an employment contract;
• a copy of a summary from the job classification for the job where work experience in trading with financial instruments has been acquired;
• a certificate of, or a statement from, the employer with a brief description of works and tasks related to financial instruments.

Professional examination is scheduled for three fields, i.e.:

• the execution of clients' orders;
• investment counselling;
• the management of clients' financial instruments.

The execution of clients' orders is the most basic form of stockbroking.

Investment counselling is the most advanced and specific form of the integration in the stockbroking work process. Investment counselling requires more knowledge than the execution of orders. Therefore, a person should decide on this field when they already have knowledge of the execution of orders.

The management financial instruments is the most demanding form of operations carried out by stockbrokers. It requires in-depth knowledge of various fields and good management of operations referred to in the first two indents.

The price of the examination amounts to:

• examination for executors of orders: EUR 300 + VAT;
• examination for investment counsellors: EUR 400 + VAT;
• examination for property manager: EUR 500 + VAT.

The examination is the responsibility of, and carried out by, the Slovenian Association of Stock Exchange Members.

Citizens of EU Member States do not have to pass the examination if they have already undergone training with the competent authority of the Member State. The evidence submitted must show the same level of knowledge as anticipated for education in Slovenia.

Evidence

Evidence of passing test of professional knowledge for those types of stockbrokers' operations that are the subject of the request for the issue of a licence.

For foreigners from EU Member States: evidence of acquired professional knowledge issued by official authorities of the Member State.

A person has never been convicted res judicata of a criminal offence against property or the economy, and the sentence has not been erased from the criminal records.

Evidence

Foreign citizens receive a certificate of no criminal record from the competent institution.