- 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
Request for a license
When submitting a request to perform the function of a member of the management board or executive director (member of the management body) in a brokerage company, applicant has to go through a three-step procedure, where she/he must:
1. submit an application to the ATVP, together with the required evidence regarding the fulfilment of the conditions for issuing a license to perform the function of a member of the management body of a brokerage company,
2. as a rule, to conduct an oral interview before the members of the ATVP Council, where the applicant presents in detail the circumstances that, in the ATVP's opinion, are important for the decision to issue a license, and
3. obtain a license to perform the function for which the license is issued.
ATVP assesses the application for the issuance of a license to perform the function of the management body of a brokerage company in accordance with the following regulations:
- Decision on documents proving eligibility for nomination as a member of the governing body of a brokerage company, as a liquidator of a brokerage company or as a director of a branch of a third-country investment company (Decision on documentation) and
- ESMA/EBA Guidelines on the assessment of the suitability of members of the management body and key function holders.
The application for the issuance of a license must be accompanied by the required documentation from the first paragraph of Article 3 of the Decision on documentation and a certificate of payment of the fee. Fee amounts to EUR 840.00 for the request to issue a license to perform the function of a board member or executive director of a brokerage company.