Regulatory Alerts2018-01-01
Decree of NBS No 1/2018 on Demonstrating Compliance for Independent Financial Agent and Financial Adviser Authorisations
Národná banka Slovenska issued this decree to specify the documentation required to demonstrate compliance with conditions for authorizations to act as an independent financial agent or financial adviser. The regulation mandates the submission of specific declarations, court confirmations, organizational charts, and draft internal regulations covering anti-money laundering, conflict of interest, and customer complaint handling. These requirements apply to applicants seeking authorization under Act No 186/2009 and became effective on 23 February 2018.
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