Skoči do osrednje vsebine

Detailed description of the individual elements of the application

The applicant for license to access the auction systems must meet all of the following conditions:

a)    must have a sufficiently good reputation and sufficient experience to ensure adequate compliance with the rules of conduct, which means the following:

-    accepts instructions from its customers under comparable conditions,

-    refuses to bid on behalf of the customer if it has reasonable grounds to suspect money laundering, terrorist financing, criminal activity or market abuse,

-    may refuse to bid on behalf of the client if it has reasonable grounds to suspect that its client is unable to pay for the rights for which it wishes to bid,

-    enters into a written agreement with its clients, which must not contain unfair conditions or restrictions for the client in question, and shall state all conditions relating to the services offered, in particular regarding payment and delivery of rights,

-    may request a security deposit in the form of an advance payment of rights from its clients,

-    must not unduly limit the number of offers that can be submitted by an individual customer,

-    may not prevent or restrict its customers from using the services of other entities that are entitled to bid on their behalf at auctions,

-    respects the interests of its clients who request to bid on their behalf at auctions,

-    treats customers fairly and without discrimination,

-    provides adequate internal systems and procedures to process requests from clients to represent them at auction and to effectively participate in the auction, in particular with regard to submitting bids on behalf of clients, accepting payments and collateral from clients and forwarding rights to clients it represents,

-    prevents the part of their company responsible for receiving, preparing and submitting offers on behalf of clients from disclosing confidential information to the part of their company responsible for preparing and submitting offers on their own behalf or the part of their company responsible for trading on the secondary market in their own name,

-    keeps a record of information obtained or created by it in the role of an intermediary handling bids on behalf of its clients in the auctions for five years from the date he obtained or created the information in question,

-    submits all information required by any auction system in which it has access to bid;

-    performs its work with integrity, appropriate ability, attention and care.

b)    has the necessary procedures and reviews in place to resolve conflicts of interest and acts in the best interest of its clients;

c)    meets the requirements of Prevention of Money Laundering and Terrorist Financing Act (ZPPDFT-2);

d)    complies with any other measures deemed necessary with regard to the type of bidding services offered and the level of complexity of the clients concerned in terms of their investment or trading profile, and any risk-based assessments of the likelihood of money laundering, terrorist financing or criminal activities.

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