Broker license

In order to provide individual investment services provided by natural persons, they must demonstrate appropriate knowledge, experience and impunity. This ensures greater security and a higher level of quality in the provision of investment services for the client.

A broker is a natural person who has an ATVP license to perform broker services and provides the following investment services for a brokerage company or bank on the basis of employment or any another legal basis:

-    execution of orders on behalf of clients,

-    investment advice and

-    portfolio management.

The ATVP prescribes the program and the method of conducting the professional knowledge test for broker, whereby Bank Association (Združenje bank Slovenije – GIZ) is authorized to perform these exams. 

To a citizen of an EU or OECD member state, the ATVP can issue a broker license on the basis of a recognized professional qualification, instead of on the basis of a passed test, applying the Act on the Procedure for the Recognition of Professional Qualifications for Performing Regulated Professions.