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Request for a license

When submitting a request to perform the function of a member of the supervisory board or non-executive director (member of the management body) in a brokerage company, it is a three-step procedure, where the applicant 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 supervisory 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 supervisory body of a brokerage company in accordance with the following regulations:

-    ZTFI-1, 

-    ZBan-3,

-    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 supervisory member or non-executive director of a brokerage company. 


  • Poljanski nasip 6, 1000 Ljubljana, SI-Slovenija
  • Telephone: +386 (0)1 280 04 00
    Fax: +386 (0)1 280 04 30
  1. E-mail: info@atvp.si
  2. Media contacts: pr@atvp.si