- 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
The request for the issuance of a license is submitted to ATVP on a special form (Annex I of Regulation 2017/1945), which is also accompanied by the form from Annex 2 of the same regulation.
The contact point for processing information from entities applying for a license as a brokerage company is email@example.com.
The request must contain information as required in Regulation 2017/1943. You can help yourself with the Instruction on documentation for issuing licenses for the provision of investment and auxiliary investment services and other licenses. A copy of the fee payment certificate must be attached to the request.
The documentation must be attached in the order prescribed, or with a precise indication of the places in the attached documentation where the individual proofs or documents are located.
The status of the brokerage company must be in accordance with section 4.1 of the ZTFI-1.
The internal management from Article 28 of the ZBNIP must be adequate and suitable for managing the risks to which the brokerage company will be exposed when performing the planned activities.
The brokerage company must have sufficient initial capital in accordance with Article 11 of the ZBNIP, taking into account the nature of the investment services and activities that it will perform.