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Required Annexes to the request

In addition to the fee payment certificate, the documents listed below must be attached to the request. The company can also define its procedures in other acts or name them differently. Some annexes are not required, in the case of acquisition of certain qualifying holdings or they depend on the entity obtaining the license for the qualifying holding:

-    an extract from the court register or another relevant public register, if the future qualifying holder is a legal entity, or a certified photocopy of a valid identity document (identity card or passport), if the future qualifying holder is a natural person,

-    the statute or, depending on the legal organizational form of the future qualifying holder, another act from which the organizational structure is evident,

-    an extract of the shareholders from the shareholders' book or, depending on the legal organizational form of the future qualifying holder, other appropriate evidence of its ownership structure and information on the possible existence of shareholder agreements or other connections of the owners that would significantly affect the management of the future qualifying holder,

-    annual reports containing comparable data from the previous year, for the last three business years,

-    the auditor's reports to the annual reports for the last three business years, if the future qualifying holder was obliged to audit the annual report, 

-    if more than 6 months have passed since the last financial year, financial statements for the current financial year should be included,

-    an organizational chart and a list of persons who are closely related to the future qualifying holder, including a description of the connection,

-    a list of companies in which the future qualifying holder has an ownership share, and the amount of this share in percentages,

-    a list of persons who, together with the future qualifying holder, form a group of related persons,

-    the consent or opinion of the competent supervisory authority of a third country on the investment in a qualifying holding of a brokerage company or a notification that, in accordance with the regulations applicable to the future qualifying holder in the country of its headquarters, such consent or opinion is not required,

-    a list of supervised companies in the group with the names of the competent supervisory authorities,

-    a description of the activities and any other activities engaged in by the group as a whole and individual companies,

-    indication of credit ratings of companies, if they have any,

-    a list of persons who are members of the management of the future qualifying holder and members of the management of companies in the group,

-    CV and completed questionnaire in the form of the KVALI form from Annex 2 of the Decision, if the future qualifying holder is a natural person, or for members of management, if the future qualifying holder is a legal entity,

-    a list of persons as well as CVs and completed questionnaires in the form of the KVALI form from Annex 2 of the Decision for persons who, due to the acquisition of a qualifying holding of a future qualifying holder, will have the opportunity to manage the brokerage company or otherwise influence its operations, or will be proposed for appointment to the management body of the brokerage company, or to the position of a member of the senior management of a brokerage company,

-    an extract from the criminal record and extract from the record of final judgments or decisions on misdemeanours due to the criminal acts or misdemeanours,

-    documentation related to legally concluded procedures against the future qualifying holder, either administrative procedures, or civil lawsuits, or in connection with other sanctions (resignation from the position, dismissal, disciplinary measures, etc.) in connection with the performance of economic activity, the function of a member of the management, bankruptcy administrator, executor, member of senior management or as an unauthorized holder,

-    description of the purpose and goal of the acquisition (strategic investment, portfolio investment, etc.); the type of shares owned by the future qualifying holder before and after the intended acquisition, indicating the share in the entire capital and voting rights of the brokerage company in percentages, or in the case of business shares, indicating the share in the entire capital and voting rights in percentages,

-    indication and description of any acting in concert act (such as the contribution of other persons to financing, method of participation in financial agreements), the existence or purpose of concluding a shareholder agreement with other shareholders or partners in the brokerage company in which a qualifying holding will be acquired,

-    a written strategy or business plan for the first three years regarding investment and management of qualifying holdings,

-    the value of the intended purchase in EUR,

-    a precise description of the source of the funds for the purchase of a qualifying holding (e.g. issuance of financial instruments, loan),

-    the scheme and description of the financial transactions necessary to acquire a qualifying holding, including the indication of the institutions that will participate in these transactions,

-    a list of natural persons who are directly or indirectly the holders of more than 25% of the business share, shares, voting or other rights on the basis of which they participate in the management of the future qualifying holder.


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  1. E-mail: info@atvp.si
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