- Public offering of securities
- Admission of securities to the regulated market
- Prospectus approval procedure
- License to provide investment services
- Licence to acquire a qualifying holding in a brokerage company
- License for a board member in a brokerage company
- License for a member of the supervisory board
- Broker license
- Tied agent licence
- Authorization to access auction systems
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.