- 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
Tied agent licence
In accordance with Article 280 of the ZTFI-1, a brokerage company or investment company may authorize a tied agent (OBPZ) to perform the following services on its behalf:
- promoting the services of the investment firm,
- soliciting business,
- receiving orders from clients or potential clients and transmitting them,
- placing financial instruments, and
- providing advice in respect of such financial instruments and services offered by that investment firm.
OBPZ is a tied agent and is a natural or legal person who, based on the unlimited and unconditional liability of only one investment company, in the name and on behalf of which:
- promotes investment and/or ancillary services to clients or prospective clients,
- receives and transmits instructions or orders from the client in respect of investment services or financial instruments,
- places financial instruments or
- provides advice to clients or prospective clients in respect of those financial instruments or services.
On the basis of Article 278 of the ZTFI-1, the ATVP maintains the OBPZ register, where persons, who request such a registration can register. Such persons must have:
- good name and
- in case that the OBPZ activity will be carried out by a natural person, this person shall have a license to perform the broker services at least for the service of executing orders for the account of clients and investment advice,
- in case that the OBPZ activity will be carried out by a legal entity, this person proves that the OBPZ services will actually be performed for it by an appropriate number of natural persons who have obtained a license to perform broker services, namely at least for the service of executing orders for the account of clients and the service of investment advice.
For registration in the OBPZ register, the Decision on the register of tied agents is used. The registration fee amounts to EUR 420.00 according to the ATVP Tariff (Tariff number 12(1)), and the OBPZ, which is entered in the register, is also obliged to pay the ATVP annual fee for supervision in the amount of EUR 252.00 (Tariff number 116).