Skoči do osrednje vsebine

Detailed description of the individual elements of the application

In the framework of the evaluation of a candidate for the position of a supervisory board member or non-executive director of a brokerage company, the ATVP, in addition to some other elements, primarily evaluates the requirements regarding the following:

a)    knowledge, skills and experience to supervise the management of the operations:

- assessing the level and profile of education and their connection with investment and financial services or other areas,

- assessment of skills such as authenticity, language, decisiveness, judgement, customer care and quality, persuasiveness, strategic insight, responsibility and other skills from Annex II of the EBA Guidelines,

- evaluating theoretical and practical experience in the field of investment and financial services, legislation, strategic planning, risk management, accounting and auditing, evaluating the effectiveness of the regulation of the brokerage company and in the field of understanding the financial data of the brokerage company and making appropriate decisions in this regard,

- assessment of work experience according to the nature of the managerial function, duration of employment, type of company in which the functions were performed, extent of competence, expertise acquired in these positions and the number of subordinates. 

b)    reputation and qualities to supervise the operations:

- evaluating decisions in other similar licensing procedures,

- evaluation of criminal and other administrative records in connection with evaluation of reputation, openness and honesty,

- evaluating ongoing investigations,

- assessment of the candidate's past and current business results and financial stability (inclusion on the list of tax debtors, participation in bankruptcy, insolvency and similar procedures, major investments, financial exposures or loans, ...),

- evaluating the management of conflicts of interest and ensuring independence of conduct.

c)    performance of several functions or incompatibility of the performance of functions:

- assessing whether a member of the supervisory body is able to devote sufficient time to the performance of hers/his functions and tasks. In doing so, ATVP takes into account criteria such as the number of concurrent directorships, the size, nature, scope and complexity of the brokerage company's activities, the number of scheduled meetings of the management body, other professional or political activities and engagements, time devoted to education, other duties of a member of the management body, which must be taken into account when assessing the sufficient time that a member of the management body must devote to the performance of hers/his function,

- evaluation if the candidate takes into account the limit on the maximum number of directorships that she/he can perform at the same time.

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