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How to become a member firm

Any brokerage firm, investment firm, bank or special financial institution registered for rendering investment services and trades can become a LJSE member. There is no limit as to the total number of LJSE members.

Should you wish to become a LJSE member, the following conditions must be met:

  • to perform investment services and trades, brokerage firms must obtain the authorization of the Slovene Securities Market Agency, and banks must be issued with the authorization of the Bank of Slovenia;
  • a brokerage firm must be organized either as a public limited company (d. d.), Societas Europea, or a limited liability company (d. o. o.);
  • in case of the two-tier management system, the management board of a brokerage firm must comprise two members with adequate professional qualifications, characteristics and experience needed to manage the operations of such a company, while in case of the one-tier management system, the board of directors must consist of at least two executive directors;
  • the conditions for settlement of obligations arising from trades executed on the regulated market need to be met;
    you need adequate share capital (min. EUR 730,000, although special ZTFI (Slovene Markets in Financial Instruments Act) rules on the share capital of brokerage firms also provide for lower sums);
  • your company needs to employ brokers who will conclude trades, which belongs among investment services offered to member firm’s clients;
  • to become a LJSE member, brokerage firms and banks also need to meet other conditions, as stipulated by the Ljubljana Stock Exchange Rules.
Application for admission to LJSE membership

The application for admission to membership must be filed together with the following documents evidencing that conditions for membership are met:

  • extract from the court register in which the applicant is entered as a legal person, including any latest amendments;
  • copy of the decision or authorization to render investment services, issued by the competent supervisory body (only for applicants applying for an unlimited right to conclude trades);
  • decision on admission to KDD (Slovene Central Securities Clearing Corporation) membership or, if the future member will not be a KDD member, a contract with a KDD member through which it intends to meet its obligations from concluded trades on the regulated market.

A future member firm applying for a limited right to conclude trades on the regulated market must supply their application for membership not only with the above documentation but also with:

  • financial statements for the last three financial years;
  • documentation evidencing its internal controls system, together with a description of the structure of its internal controls and implementation of control activities in the areas of reporting, work procedures, limits for restricting risk exposure and physical inspections;
  • statement on compliance with the other conditions stipulated by the Exchange Rules.

    Application form ( PDF 16 KB)

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