Brokerage services

Brokerage services include the implementation of orders for the account of clients, the management of financial instrument portfolios, and the provision of advice regarding investments, i.e. the provision of personal recommendations to clients regarding securities management.

In the Republic of Slovenia, brokerage services may be carried out by brokerage companies that acquire a licence from the Securities Market Agency or banks. A brokerage company may be organised only as public limited liability company, a European public limited liability company or a limited liability company.

Prior to accepting the first order from a client to purchase or sell financial instruments, brokerage companies must conclude a general agreement on brokerage services with this client.

Conditions and evidence

Last updated: 07. 08. 2015