Licensing and regulatory matters of financial institutions
Authorisation procedures before the Slovenian Securities Market Agency (ATVP) and regulatory compliance of financial institutions.
Investment firms, management companies, alternative investment fund managers and crypto-asset service providers need an ATVP authorisation to operate. The office advises throughout the procedure, from preparing the application and documents and answering requests for additional information to the decision. After authorisation it helps with ongoing compliance, reporting and dealings with the supervisor.
How the procedure works
The procedure starts with an application to the ATVP, supported by documents on the business plan, organisation, capital, qualifying shareholders and board members. The ATVP may ask for additional information, so careful preparation of the application is the most important part. The ATVP decides on approval of a qualifying holding within 60 working days of confirming receipt of the application (ZTFI-1).
After authorisation
Authorisation brings ongoing duties: reporting to the ATVP, notifying changes in management and ownership, internal policies and regular compliance reviews. The office advises on these as they arise, including during supervisory inspections.
Typical matters
- investment firm authorisation (ZTFI-1)
- approval of a qualifying holding
- management company (ZISDU-3) and AIFM (ZUAIS) authorisation
- fit and proper assessment of board members
Consultation
To arrange a consultation, send an email or call.