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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:

-    incorporation of the company articles,

-    acts on the appointment of the management body of the company,

-    financial statements of the founding companies or other statements on the use of private financial resources,

-    for natural persons who have a qualified holding in the company or will be in the management body, a copy of the personal document and a CV are attached,

-    documentation that shows the company's detailed ownership structure (up to the final owners),

-    an extract from criminal records for qualified holders, members of the management body and a certificate proving that the person is not in criminal proceedings,

-    financial projections of the company with explanations,

-    the company's business plan,

-    draft contracts with external contractors,

-    act on work procedures and internal organization,

-    act on the management of conflicts of interest,

-    act on business compliance,

-    act of the internal audit service,

-    act on risk management,

-    act on the custody of clients' funds,

-    sub-deposit rules,

-    record keeping act,

-    remuneration policy,

-    act on the selection of suitable candidates for the management body of the company,

-    act on the Internal Adequate Capital and Liquidity Assessment Process (ICARAP) and related documents,

-    new product approval policy,

-    act of familiarization with the company's internal acts,

-    business continuity plan and crisis plan,

-    act on information security management,

-    act on the implementation of internal control, the authorized representative, and professional training in the field of preventing money laundering and terrorist financing,

-    money laundering and terrorist financing risk analysis,

-    general terms and conditions,

-    statement on the guarantee system for investors' claims,

-    the policy of selecting suitable candidates for members of the company's management body,

-    customer order execution policy,

-    act on the classification of clients,

-    act on the use of external contractors,

-    act on the implementation of measures to prevent money laundering and terrorist financing,

-    act on resolving customer complaints and out-of-court dispute resolution.

  • Poljanski nasip 6, 1000 Ljubljana, SI-Slovenija
  • Telephone: +386 (0)1 280 04 00
    Fax: +386 (0)1 280 04 30
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