Investment firms, banks and management companies authorised to provide investment services and activities

No.

Bank / investment firm / management company

Contact information

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    1, 2, 3, 4, 5, 6, 7, 9, 10, 11, 12, 13, 14, 15

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

    -

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    5, 13

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    7

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    3

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

    /

  • Members of the system of guarantees for investors' claims:

    /

  • Authorisation pursuant to ZTVP-1:

    1, 2, 3, 5, 6, 7, 9, 10

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

    /

  • Members of the system of guarantees for investors' claims:

  • Authorisation pursuant to ZTVP-1:

    1, 2, 3, 4, 5, 6, 7, 9, 10, 11

  • Authorisation pursuant to ZTFI-1:

    10

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

  • Members of the system of guarantees for investors' claims:

  • Authorisation pursuant to ZTVP-1:

    1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

  • Members of the system of guarantees for investors' claims:

  • Authorisation pursuant to ZTVP-1:

    1, 3, 4, 5, 6, 7, 8, 9, 10, 11

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

  • Members of the system of guarantees for investors' claims:

  • Authorisation pursuant to ZTVP-1:

    1, 3, 4, 5, 6, 7, 8, 9, 10, 11

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

  • Members of the system of guarantees for investors' claims:

  • Authorisation pursuant to ZTVP-1:

    1, 2, 3, 4, 5, 6, 7, 9, 10, 11

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    1, 2, 3

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    1, 3

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    1, 3

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    7

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

    /

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    7

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

    /

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    7

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

    /

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    7

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

    /

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    7

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

    /

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    7

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

    /

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    7

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

    /

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    7

  • Member of Ljubljana stock exchange:

    -

  • Members of the system of guarantees for investors' claims:

    /

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    /

  • Authorisation pursuant to ZBan-2:

    7

  • Member of Ljubljana stock exchange:

    /

  • Members of the system of guarantees for investors' claims:

    /

  • Authorisation pursuant to ZTVP-1:

    /

  • Authorisation pursuant to ZTFI-1:

    /

  • Authorisation pursuant to ZISDU-3C:

    1

  • Authorisation pursuant to ZBan-2:

    /

  • Member of Ljubljana stock exchange:

    /

  • Members of the system of guarantees for investors' claims:

    /

*Transposition table of ZTVP-1 and ZTFI

Last update: November 3, 2020

Key:

 Investment services and activities and ancillary services pursuant to Market in Financial Instruments Act (ZTFI-1)  

  1. Reception and transmission of orders in relation to one or more financial instruments.
  2. Execution of orders on behalf of clients.
  3. Dealing on own account.
  4. Portfolio management.
  5. Investment advice.
  6. Underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis.
  7. Placing of financial instruments without a firm commitment basis.
  8. Operation of an MTF.
  9. Safekeeping and administration of financial instruments for the account of clients, including custodianship and related services such as cash/collateral management and excluding maintaining securities accounts at the top tier level.
  10. Granting credits or loans to an investor to allow him to carry out a transaction in one or more financial instruments, where the firm granting the credit or loan is involved in the transaction.
  11. Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings.
  12. Foreign exchange services where these are connected to the provision of investment services.
  13. Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments.
  14. Services related to underwriting.
  15. Investment services and activities as well as ancillary services of the type included under Section A or B of Annex 1 related to the underlying of the derivatives included under points (5), (6), (7) and (10) of Section C where these are connected to the provision of investment or ancillary services.
  16. Operation of an OTF.

 

 Services with regard to securities pursuant to Securities Market Act (ZTVP-1)  

  1. Brokerage
  2. Securities management
  3. Execution of initial sales without firm commitment
  4. Underwriting of initial sales
  5. Services in connection with initiation of public trading in securities
  6. Investment advice
  7. Administration of accounts of book-entry securities
  8. Safekeeping of securities
  9. Services in connection with mergers and acquisitions
  10. Transmission of orders
  11. Dealing on own account

 

Portfolio management and ancillary services pursuant to Investment Funds and Management Companies Act (ZISDU-3) 

1. Portfolio management
2. Investment advice
   3.  Safekeeping and administration in relation to units of collective investment undertakings

 

Financial services according to the Banking act (ZBan-2)

7. trading for own account or for the account of clients:

  • in money-market instruments,
  • in foreign legal tender, including currency exchange transactions,
  • in standardised futures and options,
  • in currency and interest-rate instruments,
  • in transferable securities;
  • 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