TEKST
+100%-

Commissioners and Investment Advisers

HOME / LEGAL FRAMEWORK / AMF REGULATIONS / COMMISSIONERS AND INVESTMENT ADVISERS

Brokerage Firms and Investment Advisers


Regulation no. 165, date 23.12.2008 "On the licensing of the brokerage/ intermediary companies, the broker and the investment advisor"

The scope of this regulation is to determine the criteria and documentation which has to be submitted to the Financial Supervisory Authority in order …

Approved by : AFSA Board; Entered into force : 23/12/2008

Entire document

Regulation no. 115, date 11.09.2008 "On the content and manner of keeping the order book and the book of transactions"

This regulation defines the content and manner of keeping the order book and the book of transactions, which must be kept by the brokerage companies in …

Approved by : AFSA Board; Entered into force : 11/09/2008

Entire document

Regulation no. 41, date 28.05.2009 "On minimum liquidity of securities brokerage companies"

The object of this Regulation is the stipulation of the manner of balancing the liquid funds and short term liabilities of securities brokerage companies…

Approved by : AFSA Board; Entered into force : 28/05/2009

Entire document

Regulation no. 74, date 28.08.2009 "On the mandatory content of business and financial reports of brokerage company in securities"

This regulation shall stipulate the mandatory content of business and financial reports which brokerage companies in securities submit to the Financial

Approved by : AFSA Board; Entered into force : 28/08/2009

Entire document